N••••••• J••• P••••

• R••••••••• C•••••• M••••••••• BD affiliated current
  since May 20, 2022 · Los Angeles, Ca
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Jun 2, 2022 · Seattle, Wa
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Jun 1, 2009 · Seattle, Wa
• M••••• S•••••• D• I••• unclassified
  Aug 12, 2005 to Apr 2, 2007 · Seattle, Wa
• R•• C•••••• M••••••• L•• national BD
  Sep 10, 2002 to Sep 1, 2005 · Bellevue, Wa

• M••••• S•••••• to R••••••••• C•••••• M•••••••••
  left Jun 2, 2022, registered May 20, 2022 (-13 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
• R•• C•••••• M••••••• L•• to M••••• S•••••• D• I•••
  left Sep 1, 2005, registered Aug 12, 2005 (-20 days) · Other

• N••••••• J••• P•••• left M••••• S•••••• for R••••••••• C•••••• M••••••••• (registered 2022-05-20)
  Jun 2, 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

Broker-dealer affiliated wealth managerderived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address