S•••• K•••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Feb 13, 2013 · Huntsville, Al
• M••••• K••••• • C••••••• L•• former
  Mar 31, 2006 to Feb 13, 2013 · Huntsville, Al
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Apr 3, 2006 · Huntsville, Al
• P••••••••• E••••• G••••• L•• unclassified
  Apr 23, 1997 to Jul 1, 2003 · Huntsville, Al

• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••
  left Apr 3, 2006, registered Mar 31, 2006 (-3 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (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

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