L••••••• P••••• R•••

• L•• E••••••••• L•• BD affiliated current
  since Nov 18, 2024 · Bradenton, Fl
• P•••• S••••••••• L•• no RAUM
  Mar 24, 2017 to Nov 12, 2024 · Sarasota, Fl
• L•• F•••••••• L•• BD affiliated
  Feb 14, 2013 to Feb 23, 2017 · San Anselmo, Ca
• O• I••••••••• M••••••••• C• BD affiliated
  Apr 19, 2011 to Dec 31, 2012 · Bradenton, Fl
• U••• B•••••• I••••••••• I••• former
  Mar 23, 2005 to Oct 27, 2009 · Springfield, Il
• N•• A•••••• S•••••••• L•• former
  Sep 29, 2003 to Feb 22, 2005 · Springfield, Il
• P•••• S••••••••• L•• no RAUM
  Oct 24, 2002 to Oct 9, 2003 · Springfield, Il

• P•••• S••••••••• L•• to L•• E••••••••• L••
  left Nov 12, 2024, registered Nov 18, 2024 (6 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to P•••• S••••••••• L••
  left Feb 23, 2017, registered Mar 24, 2017 (29 days) · Other
• O• I••••••••• M••••••••• C• to L•• F•••••••• L••
  left Dec 31, 2012, registered Feb 14, 2013 (45 days) · Other
• U••• B•••••• I••••••••• I••• to O• I••••••••• M••••••••• C•
  left Oct 27, 2009, registered Apr 19, 2011 (539 days) · Other
• N•• A•••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••
  left Feb 22, 2005, registered Mar 23, 2005 (29 days) · Other
• P•••• S••••••••• L•• to N•• A•••••• S•••••••• L••
  left Oct 9, 2003, registered Sep 29, 2003 (-10 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

Broker-dealer affiliated wealth managerderived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address