S•••••• L•• C•••••

• R•• C•••••• M••••••• L•• national BD current
  since Oct 3, 2013 · Indianapolis, In
• R•••••• J•••• • A••••••••• I••• national BD
  Feb 13, 2013 to Sep 3, 2013 · Indianapolis, In
• M••••• K••••• • C••••••• L•• former
  Nov 28, 2008 to Feb 13, 2013 · Indianapolis, In
• H••••••••• F•••••••• A••••••• BD affiliated
  Apr 4, 2006 to Nov 28, 2008 · Cincinnati, Oh

• R•••••• J•••• • A••••••••• I••• to R•• C•••••• M••••••• L••
  left Sep 3, 2013, registered Oct 3, 2013 (30 days) · Affiliated broker-dealer or bank to another
• 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
• H••••••••• F•••••••• A••••••• to M••••• K••••• • C••••••• L••
  left Nov 28, 2008, registered Nov 28, 2008 (0 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

National broker-dealer RIAderived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address