L•••••• R•••

• L•• F•••••••• L•• BD affiliated current
  since Oct 8, 2012 · Mexia, Tx
• C•••••• O•• F•••••••• A••••••• L•• unclassified
  Sep 16, 2011 to Oct 1, 2012 · Melville, Ny
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Sep 6, 2011 · Richardson, Tx
• W•••• F•••• I••••••••• L•• unclassified
  Sep 10, 2009 to Jan 3, 2011 · Plano, Tx
• C••••••• S••••••••• former
  Jun 16, 2009 to Sep 14, 2009 · Dallas, Tx

• C•••••• O•• F•••••••• A••••••• L•• to L•• F•••••••• L••
  left Oct 1, 2012, registered Oct 8, 2012 (7 days) · Other
• W•••• F•••• A••••••• to C•••••• O•• F•••••••• A••••••• L••
  left Sep 6, 2011, registered Sep 16, 2011 (10 days) · Other
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
• C••••••• S••••••••• to W•••• F•••• I••••••••• L••
  left Sep 14, 2009, registered Sep 10, 2009 (-4 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address