L••••• D••• H•••••

• S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
  since Apr 3, 2018 · Clearwater, Fl
• U•• F•••••••• S••••••• I••• wirehouse
  Nov 13, 2008 to Apr 9, 2018 · Clearwater, Fl
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Nov 17, 2008 · St. Petersburg, Fl
• M••••• S•••••• D• I••• unclassified
  Apr 11, 2005 to Apr 2, 2007 · St. Petersburg, Fl
• R•••••• J•••• • A••••••••• I••• national BD
  Apr 16, 1999 to Apr 27, 2005 · Largo, Fl

• U•• F•••••••• S••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••
  left Apr 9, 2018, registered Apr 3, 2018 (-6 days) · Wirehouse to independent RIA
• M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••
  left Nov 17, 2008, registered Nov 13, 2008 (-4 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
• R•••••• J•••• • A••••••••• I••• to M••••• S•••••• D• I•••
  left Apr 27, 2005, registered Apr 11, 2005 (-16 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address