R••••• M•••••• C•••••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Sep 29, 2015 · Denver, Co
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Oct 1, 2015 · Denver, Co
• W•••• F•••• I••••••••• L•• unclassified
  Dec 17, 2002 to Jan 3, 2011 · Denver, Co
• M••••• S•••••• D• I••• unclassified
  Nov 24, 1999 to Dec 17, 2002 · Denver, Co

• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left Oct 1, 2015, registered Sep 29, 2015 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to W•••• F•••• I••••••••• L••
  left Dec 17, 2002, registered Dec 17, 2002 (0 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

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