M•••••• E••••••• C••••••

• L•• F•••••••• L•• BD affiliated current
  since Jun 22, 2021 · Milton, Pa
• M•• S••••••••• I••• unclassified
  Nov 20, 2020 to Jun 9, 2021 · Baltimore, Md
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Aug 28, 2012 to Jan 23, 2020 · Chicago, Il
• C••••• A••••••• L•• former
  Oct 1, 2004 to Aug 29, 2012 · The Woodlands, Tx
• Q•••• • R•••••• I••• unclassified
  Nov 25, 2002 to Oct 12, 2004 · Chicago, Il

• M•• S••••••••• I••• to L•• F•••••••• L••
  left Jun 9, 2021, registered Jun 22, 2021 (13 days) · corporate re-registration, not a move
• V•••• F•••••••• A•••••••• I••• to M•• S••••••••• I•••
  left Jan 23, 2020, registered Nov 20, 2020 (302 days) · Other
• C••••• A••••••• L•• to V•••• F•••••••• A•••••••• I•••
  left Aug 29, 2012, registered Aug 28, 2012 (-1 days) · Other
• Q•••• • R•••••• I••• to C••••• A••••••• L••
  left Oct 12, 2004, registered Oct 1, 2004 (-11 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