P•••• R••••••• C•••••••

• L•• F•••••••• L•• BD affiliated current
  since Feb 3, 2017 · Hacienda Heights, Ca
• C•••••••• G••••• M•••••• I••• BD affiliated
  Apr 2, 2014 to Feb 10, 2017 · Whittier, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Apr 1, 2014 · Ontario, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Feb 26, 2008 to Jan 3, 2011 · Pasadena, Ca
• U••• B•••••• A•••••••• L•• BD affiliated
  Jan 4, 2007 to Feb 25, 2008 · Los Angeles, Ca
• W••• I••••••••• I••• unclassified
  Feb 28, 2006 to Dec 15, 2006 · Anaheim, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Aug 2, 2005 to Feb 21, 2006 · City Of Industry, Ca

• C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••
  left Feb 10, 2017, registered Feb 3, 2017 (-7 days) · Other
• W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••
  left Apr 1, 2014, registered Apr 2, 2014 (1 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
• U••• B•••••• A•••••••• L•• to W•••• F•••• I••••••••• L••
  left Feb 25, 2008, registered Feb 26, 2008 (1 days) · Other
• W••• I••••••••• I••• to U••• B•••••• A•••••••• L••
  left Dec 15, 2006, registered Jan 4, 2007 (20 days) · Other
• W•••• F•••• I••••••••• L•• to W••• I••••••••• I•••
  left Feb 21, 2006, registered Feb 28, 2006 (7 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address