T•••• F•••••••• M•••••

• W•••• F•••• A••••••• wirehouse current
  since Apr 16, 2015 · Clearwater, Fl
• R•••••• J•••• • A••••••••• I••• national BD
  Feb 13, 2013 to Apr 21, 2015 · Tampa, Fl
• M••••• K••••• • C••••••• L•• former
  May 19, 2009 to Feb 13, 2013 · Tampa, Fl
• U•• F•••••••• S••••••• I••• wirehouse
  Aug 8, 2007 to May 13, 2009 · Tampa, Fl

• R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••
  left Apr 21, 2015, registered Apr 16, 2015 (-5 days) · Affiliated broker-dealer or bank to wirehouse
• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••
  left May 13, 2009, registered May 19, 2009 (6 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address