M••• R•••••• M••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Jul 7, 2015 · Fort Smith, Ar
• S••••• A••• A•••• M••••••••• I••• former
  Feb 13, 2009 to Jul 7, 2015 · Birmingham, Al
• C•••••••• G••••• M•••••• I••• BD affiliated
  Apr 30, 1998 to Mar 10, 2009 · Tulsa, Ok

• S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
• C•••••••• G••••• M•••••• I••• to S••••• A••• A•••• M••••••••• I•••
  left Mar 10, 2009, registered Feb 13, 2009 (-25 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