RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Oct 31, 2019 · Oklahoma City, Ok
• P••••••• C•••••• A•••••••• I••• former
  Jan 13, 2009 to Nov 1, 2019 · Oklahoma City, Ok
• S•••••••• F••••••••• I••• former
  Oct 31, 2005 to May 7, 2007 · Phoenix, Az
• S•••••• • C••• I••• unclassified
  Oct 4, 2005 to Oct 31, 2005 · Oklahoma City, Ok
• E•••••••• A•••••••• L•• national BD
  Apr 5, 2002 to Sep 29, 2004 · Oklahoma City, Ok

• P••••••• C•••••• A•••••••• I••• to L•• F•••••••• L••
  left Nov 1, 2019, registered Oct 31, 2019 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
• S•••••••• F••••••••• I••• to P••••••• C•••••• A•••••••• I•••
  left May 7, 2007, registered Jan 13, 2009 (617 days) · Other
• S•••••• • C••• I••• to S•••••••• F••••••••• I•••
  left Oct 31, 2005, registered Oct 31, 2005 (0 days) · Other
• E•••••••• A•••••••• L•• to S•••••• • C••• I•••
  left Sep 29, 2004, registered Oct 4, 2005 (370 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address