S••• M•••••• O••••••

• J••• M••••• S••••••••• L•• wirehouse current
  since Oct 1, 2012 · New York, Ny
• C•••• I••••••••• S••••••• C•••• former
  Nov 29, 2006 to Oct 1, 2012 · New York, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Jun 29, 2006 to Dec 31, 2006 · New York City, Ny
• C•••• I••••••••• S••••••• C•••• former
  Aug 9, 2004 to Jun 23, 2006 · New York City, Ny
• Q•••• • R•••••• I••• unclassified
  Jan 14, 2003 to Aug 13, 2004 · New York, Ny

• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••
  left Dec 31, 2006, registered Nov 29, 2006 (-32 days) · Other
• C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••
  left Jun 23, 2006, registered Jun 29, 2006 (6 days) · Other
• Q•••• • R•••••• I••• to C•••• I••••••••• S••••••• C••••
  left Aug 13, 2004, registered Aug 9, 2004 (-4 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

Wirehousederived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address