S•••••• R••••• T•••••

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Oct 3, 2023 · Newbury Park, Ca
• O•••• W•••••• I••• BD affiliated
  Sep 1, 2023 to Oct 6, 2023 · Newbury Park, Ca
• S•••••••• F••••••••• I••• former
  Feb 15, 2011 to Sep 1, 2023 · Scottsdale, Az
• N••• F•••••••• G••••• I••• former
  Dec 16, 2004 to Feb 28, 2011 · Westlake Village, Ca
• O•••• F•• I••• former
  Aug 23, 1999 to Dec 17, 2004 · Westlake Village, Ca

• O•••• W•••••• I••• to K••••• A••••••• S•••••••• L••
  left Oct 6, 2023, registered Oct 3, 2023 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••
  left Feb 28, 2011, registered Feb 15, 2011 (-13 days) · Other
• O•••• F•• I••• to N••• F•••••••• G••••• I•••
  left Dec 17, 2004, registered Dec 16, 2004 (-1 days) · Other

• ••• Locked
  Oct 6, 2023 · 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address