M•••••• M•••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Apr 13, 2021 · Modesto, Ca
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Nov 9, 2011 to Jun 4, 2014 · Richmond, Va
• H•••••• T••••••• • K•••• L•• independent RIA
  Sep 11, 2009 to Apr 1, 2011 · Roanoke, Va
• E•••••••• A•••••••• L•• national BD
  Dec 19, 2005 to Aug 25, 2009 · Roanoke, Va
• A• G• E•••••• • S•••• I••• unclassified
  Nov 20, 2003 to Nov 8, 2005 · Modesto, Ca

• V•••• F•••••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Jun 4, 2014, registered Apr 13, 2021 (2505 days) · Other
• H•••••• T••••••• • K•••• L•• to V•••• F•••••••• A•••••••• I•••
  left Apr 1, 2011, registered Nov 9, 2011 (222 days) · Other
• E•••••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••
  left Aug 25, 2009, registered Sep 11, 2009 (17 days) · Other
• A• G• E•••••• • S•••• I••• to E•••••••• A•••••••• L••
  left Nov 8, 2005, registered Dec 19, 2005 (41 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

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