A••••• T••• H••••••

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Greenville, Sc
• B••• S••••••••• L•• former
  Jan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
• B••• I••••••••• S•••••••• I••• former
  Sep 17, 2014 to Jan 2, 2018 · Charlotte, Nc
• L•• F•••••••• L•• BD affiliated
  Oct 17, 2007 to May 17, 2013 · Mt. Pleasant, Sc
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Dec 8, 2004 to Oct 16, 2007 · Greenville, Sc
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Feb 12, 2004 to Apr 13, 2004 · Greenville, Sc

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••
  left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••
  left May 17, 2013, registered Sep 17, 2014 (488 days) · Other
• U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
  left Oct 16, 2007, registered Oct 17, 2007 (1 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
  left Apr 13, 2004, registered Dec 8, 2004 (239 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address