C••••••••• J••••• B••••••

• L•• F•••••••• L•• BD affiliated current
  since Aug 8, 2024 · San Francisco, Ca
• C••• B•••••••• S•••••••• I••• former
  Jul 31, 2012 to May 18, 2022 · San Francisco, Ca
• B••••••• I••••••••• S•••••••• I••• ••••• former
  Jun 29, 2010 to Jul 26, 2012 · Santa Rosa, Ca
• U••• B•••••• I••••••••• I••• former
  Jan 30, 2008 to Jul 21, 2009 · Littleton, Co

• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left May 18, 2022, registered Aug 8, 2024 (813 days) · corporate re-registration, not a move
• B••••••• I••••••••• S•••••••• I••• ••••• to C••• B•••••••• S•••••••• I•••
  left Jul 26, 2012, registered Jul 31, 2012 (5 days) · Other
• U••• B•••••• I••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••
  left Jul 21, 2009, registered Jun 29, 2010 (343 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