W•••••• R••••• K••••••

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Aug 25, 2017 · Austin, Tx
• L•• F•••••••• L•• BD affiliated
  Sep 8, 2009 to Jan 14, 2010 · Lake Forest, Il
• W••••••••• F•••••••• G••••• I••• unclassified
  Mar 7, 2005 to Sep 8, 2009 · Lake Forest, Il
• O•••••• S••••••• A••••••• C••• former
  Aug 3, 1998 to Mar 14, 2005 · Lake Forest, Il

• L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Jan 14, 2010, registered Aug 25, 2017 (2780 days) · Other
• W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••
  left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
• O•••••• S••••••• A••••••• C••• to W••••••••• F•••••••• G••••• I•••
  left Mar 14, 2005, registered Mar 7, 2005 (-7 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