R•••••• T••••• H••••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Mar 17, 2017 · Huntsville, Al
• W•••• F•••• A••••••• wirehouse
  Jan 2, 2009 to Mar 21, 2017 · Huntsville, Al
• C•••••••• G••••• M•••••• I••• BD affiliated
  Feb 21, 2006 to Jan 21, 2009 · Huntsville, Al
• L••• M•••• W••• W•••••• I••••••••• unclassified
  Jun 4, 1997 to Feb 21, 2006 · Huntsville, Al

• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left Mar 21, 2017, registered Mar 17, 2017 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
  left Jan 21, 2009, registered Jan 2, 2009 (-19 days) · Other
• L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
  left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move

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