N•••• D••••••

• L•• F•••••••• L•• BD affiliated current
  since May 15, 2025 · Long Beach, Ca
• C••• F•••••••• S•••••••• L••• former
  Oct 14, 2022 to May 15, 2025 · Long Beach, Ca
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 13, 2018 to Jul 26, 2021 · Boston, Ma
• S•••••••• A••••••• L•• national BD
  Jul 1, 2005 to Jul 13, 2018 · Torrance, Ca
• E•••••• A••••••• S•••••••• I••• unclassified
  May 30, 2002 to Sep 22, 2003 · Beverly Hills, Ca

• C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
  left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
• F••••••• P••••••• A•• W•••••••• A••••••• to C••• F•••••••• S•••••••• L•••
  left Jul 26, 2021, registered Oct 14, 2022 (445 days) · Affiliated broker-dealer or bank to another
• S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
• E•••••• A••••••• S•••••••• I••• to S•••••••• A••••••• L••
  left Sep 22, 2003, registered Jul 1, 2005 (648 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