T••••• G••• P•••••••

• L•• F•••••••• L•• BD affiliated current
  since May 17, 2023 · Rockford, Il
• S•• BD affiliated
  Oct 18, 2019 to May 15, 2023 · Rockford, Il
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 5, 2009 to Oct 24, 2019 · Deerfield, Il
• A••••••••• A•••••• S•••••••• I••• unclassified
  Sep 24, 2008 to Oct 5, 2009 · Rockford, Il
• R••••• W• B•••• • C•• I••••••••• mixed wealth
  Mar 14, 2003 to Sep 18, 2008 · Rockford, Il
• R•• C•••••• M••••••• L•• national BD
  May 3, 2001 to Mar 28, 2003 · Rockford, Il

• S•• to L•• F•••••••• L••
  left May 15, 2023, registered May 17, 2023 (2 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to S••
  left Oct 24, 2019, registered Oct 18, 2019 (-6 days) · Affiliated broker-dealer or bank to another
• A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
• R••••• W• B•••• • C•• I••••••••• to A••••••••• A•••••• S•••••••• I•••
  left Sep 18, 2008, registered Sep 24, 2008 (6 days) · Other
• R•• C•••••• M••••••• L•• to R••••• W• B•••• • C•• I•••••••••
  left Mar 28, 2003, registered Mar 14, 2003 (-14 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address