S•••• R•• M•••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Jun 22, 2018 · Terre Haute, In
• I••••••••• P••••••••• I••• former
  Apr 30, 2009 to Sep 24, 2018 · San Antonio, Tx
• U•• F•••••••• S••••••• I••• wirehouse
  Mar 11, 2003 to May 13, 2009 · Indianapolis, In
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jan 22, 2001 to Jan 27, 2003 · Terre Haute, In

• I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to I••••••••• P••••••••• I•••
  left May 13, 2009, registered Apr 30, 2009 (-13 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
  left Jan 27, 2003, registered Mar 11, 2003 (43 days) · Wirehouse to wirehouse

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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address