C•••• M•••••• C•••

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Jan 24, 2022 · Austin, Tx
• R•••••• J•••• • A••••••••• I••• national BD
  Oct 7, 2019 to Feb 4, 2022 · Austin, Tx
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 10, 2003 to Oct 9, 2019 · Austin, Tx
• C•••••••• G••••• M•••••• I••• BD affiliated
  May 7, 1998 to Oct 24, 2003 · Austin, Tx

• R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Feb 4, 2022, registered Jan 24, 2022 (-11 days) · Affiliated broker-dealer or bank to another
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••
  left Oct 9, 2019, registered Oct 7, 2019 (-2 days) · Wirehouse to affiliated broker-dealer or bank
• C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 24, 2003, registered Oct 10, 2003 (-14 days) · Other

• ••• Locked
  Feb 4, 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address