L•••• J• S••••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Allen, Tx
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 13, 2018 to Mar 31, 2025 · Boston, Ma
• F••••••• P••••••• T•••• C••••••• F•• unclassified
  Jan 27, 2006 to Mar 28, 2007 · Houston, Tx
• S•••••••• A••••••• L•• national BD
  Nov 10, 1998 to Jul 13, 2018 · Ft. Lauderdale, Fl

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••
  left Jul 13, 2018, registered Jan 27, 2006 (-4550 days) · Other · moved with a team
• F••••••• P••••••• T•••• C••••••• F•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Mar 28, 2007, registered Jul 13, 2018 (4125 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address