A•••• P••••

• E•••••••• A•••••••• L•• national BD current
  since Sep 7, 2022 · Charlotte, Nc
• V••••••• A•••••••• I••• BD affiliated
  May 20, 2022 to Sep 1, 2022 · Charlotte, Nc
• A••••• F•••••••• S••••••••• L•• unclassified
  Mar 7, 2011 to May 24, 2011 · Charlotte, Nc
• L•• F•••••••• L•• BD affiliated
  Aug 23, 2010 to Feb 10, 2011 · Fort Mill, Sc

• V••••••• A•••••••• I••• to E•••••••• A•••••••• L••
  left Sep 1, 2022, registered Sep 7, 2022 (6 days) · Affiliated broker-dealer or bank to another
• A••••• F•••••••• S••••••••• L•• to V••••••• A•••••••• I•••
  left May 24, 2011, registered May 20, 2022 (4014 days) · Other
• L•• F•••••••• L•• to A••••• F•••••••• S••••••••• L••
  left Feb 10, 2011, registered Mar 7, 2011 (25 days) · Other

• ••• Locked
  Sep 1, 2022 · Advisor changed firm · fact

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

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address