RIA Intelligence

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Jul 12, 2019 · Nashville, Tn
• W•••• F•••• A••••••• wirehouse
  May 26, 2009 to Nov 11, 2015 · San Diego, Ca
• H•••••• S••••••••• I••• BD affiliated
  Dec 10, 2008 to May 22, 2009 · San Diego, Ca
• M••• S•••• • C••• L••• unclassified
  Feb 6, 2004 to Jan 7, 2009 · San Diego, Ca

• W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
  left Nov 11, 2015, registered Jul 12, 2019 (1339 days) · Wirehouse to affiliated broker-dealer or bank
• H•••••• S••••••••• I••• to W•••• F•••• A•••••••
  left May 22, 2009, registered May 26, 2009 (4 days) · Other
• M••• S•••• • C••• L••• to H•••••• S••••••••• I•••
  left Jan 7, 2009, registered Dec 10, 2008 (-28 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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address