R••••• D•••••• W••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Feb 17, 2023 · Louisville, Ky
• R•••••• J•••• • A••••••••• I••• national BD
  Oct 22, 2014 to Feb 24, 2023 · Louisville, Ky
• W•••• F•••• A••••••• wirehouse
  Nov 4, 2005 to Nov 7, 2014 · Louisville, Ky
• M••••• S•••••• D• I••• unclassified
  Sep 25, 2000 to Nov 10, 2005 · Louisville, Ky

• R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Feb 24, 2023, registered Feb 17, 2023 (-7 days) · Affiliated broker-dealer or bank to another
• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left Nov 7, 2014, registered Oct 22, 2014 (-16 days) · Wirehouse to affiliated broker-dealer or bank
• M••••• S•••••• D• I••• to W•••• F•••• A•••••••
  left Nov 10, 2005, registered Nov 4, 2005 (-6 days) · Other

• ••• Locked
  Feb 24, 2023 · Advisor changed firm · fact

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

National broker-dealer RIAderived

Years in industry

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address