M•••• D••••••• W•••••

• I••••••••• F•••••••• G••••• L•• BD affiliated current
  since Oct 31, 2019 · Houston, Tx
• A••••••••• F•••••••• S•••••••• L•• national BD
  Feb 22, 2013 to Nov 4, 2019 · Austin, Tx
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Jul 5, 2011 to Feb 28, 2013 · Houston, Tx
• A••••••••• F•••••••• S•••••••• L•• national BD
  Mar 10, 1998 to May 19, 2011 · Houston, Tx

• A••••••••• F•••••••• S•••••••• L•• to I••••••••• F•••••••• G••••• L••
  left Nov 4, 2019, registered Oct 31, 2019 (-4 days) · Affiliated broker-dealer or bank to independent RIA
• V•••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Feb 28, 2013, registered Feb 22, 2013 (-6 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••
  left May 19, 2011, registered Jul 5, 2011 (47 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