RIA Intelligence

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Aug 24, 2020 · Scranton, Pa
• P•• W••••• M••••••••• BD affiliated
  Oct 18, 2017 to Dec 6, 2018 · Scranton, Pa
• M••••• S•••••• wirehouse
  Mar 8, 2012 to Aug 2, 2017 · Scranton, Pa
• M••••• S•••••• D• I••• unclassified
  Dec 20, 2002 to Jul 26, 2004 · Scranton, Pa

• P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Dec 6, 2018, registered Aug 24, 2020 (627 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
• M••••• S•••••• to P•• W••••• M•••••••••
  left Aug 2, 2017, registered Oct 18, 2017 (77 days) · Other
• M••••• S•••••• D• I••• to M••••• S••••••
  left Jul 26, 2004, registered Mar 8, 2012 (2782 days) · Other

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

Wirehousederived

Years in industry

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address