D•••• L••• M••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Sep 25, 2009 · Canfield, Oh
• U•• F•••••••• S••••••• I••• wirehouse
  Feb 9, 2007 to Sep 25, 2009 · Weehawken, Nj
• K•••••• C•••••• M•••••• I••• unclassified
  Nov 22, 1999 to Feb 9, 2007 · Canfield, Oh

• U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Sep 25, 2009, registered Sep 25, 2009 (0 days) · corporate re-registration, not a move
• K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
  left Feb 9, 2007, registered Feb 9, 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

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