G••••• W•••• B•••

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Oct 5, 2018 · Charlotte, Nc
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 23, 2009 to Oct 9, 2018 · Greensboro, Nc
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 17, 2008 to Oct 23, 2009 · Greensboro, Nc
• W•••• F•••• A••••••• wirehouse
  Dec 10, 2002 to Oct 20, 2008 · Reidsville, Nc

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• I•••
  left Oct 9, 2018, registered Oct 5, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 20, 2008, registered Oct 17, 2008 (-3 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address