L••• R• M••••••••

• L•• F•••••••• L•• BD affiliated current
  since Jan 3, 2023 · Perry, Fl
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Apr 9, 2010 to Jan 6, 2023 · Chicago, Il
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 5, 2009 to Apr 7, 2010 · Naperville, Il
• A••••••••• A•••••• S•••••••• I••• unclassified
  Nov 27, 2006 to Oct 5, 2009 · Naperville, Il

• V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••
  left Jan 6, 2023, registered Jan 3, 2023 (-3 days) · Affiliated broker-dealer or bank to independent RIA
• A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••
  left Apr 7, 2010, registered Apr 9, 2010 (2 days) · Other
• A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move

• ••• Locked
  Jan 6, 2023 · a•••••• firm change · 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

Broker-dealer affiliated wealth managerderived

Years in industry

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address