M•••••• C••••• K•••••

• O•••• S••• A•••• M••••••••• L•• state registered current
  since Jan 31, 2018 · Raleigh, Nc
• S•••••• N••••••• • C••••••• I••••••••• national BD
  Aug 21, 2007 to Jan 30, 2018 · Morristown, Nj
• R••• B••• • C•• unclassified
  Jul 8, 1999 to Aug 21, 2007 · Florham Park, Nj

• S•••••• N••••••• • C••••••• I••••••••• to O•••• S••• A•••• M••••••••• L••
  left Jan 30, 2018, registered Jan 31, 2018 (1 days) · Affiliated broker-dealer or bank to a state-registered adviser
• R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••
  left Aug 21, 2007, registered Aug 21, 2007 (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

STATE REGISTEREDderived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address