K••• A••• U•••••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Apr 14, 2021 · Bryan, Tx
• U•• F•••••••• S••••••• I••• wirehouse
  Apr 17, 2009 to Apr 23, 2021 · College Station, Tx
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Apr 21, 2009 · Bryan, Tx
• A• G• E•••••• • S•••• I••• unclassified
  Aug 22, 2002 to Jan 1, 2008 · Bryan, Tx

• U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Apr 23, 2021, registered Apr 14, 2021 (-9 days) · Wirehouse to affiliated broker-dealer or bank
• W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
  left Apr 21, 2009, registered Apr 17, 2009 (-4 days) · Wirehouse to wirehouse
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (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