D•••• L•••• F•••••

• M••••• S•••••• wirehouse current
  since Jun 13, 2013 · Greenville, De
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jul 21, 2009 to Jun 10, 2013 · Sinking Spring, Pa
• A••••••••• A•••••• S•••••••• I••• unclassified
  Jun 30, 2003 to Oct 5, 2009 · Sinking Spring, Pa
• C•••••• L•• independent RIA
  Mar 6, 2003 to Jul 10, 2003 · Lutherville, Md

• A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••
  left Jun 10, 2013, registered Jun 13, 2013 (3 days) · Affiliated broker-dealer or bank to wirehouse
• A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 5, 2009, registered Jul 21, 2009 (-76 days) · corporate re-registration, not a move
• C•••••• L•• to A••••••••• A•••••• S•••••••• I•••
  left Jul 10, 2003, registered Jun 30, 2003 (-10 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

Wirehousederived

Years in industry

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address