H•••••• A••••• S••••

• T••••••• I••••••••• M••••••••• I••• BD affiliated current
  since Apr 2, 2024 · Minneapolis, Mn
• L•• F•••••••• L•• BD affiliated
  Feb 5, 2021 to Apr 1, 2024 · Austin, Tx
• K••••• A••••••• S•••••••• L•• BD affiliated
  Apr 22, 2016 to Dec 18, 2020 · Austin, Tx
• N•• A•••••• S•••••••• L•• former
  Dec 11, 2014 to Sep 22, 2016 · Austin, Tx
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Mar 5, 2007 to Jan 17, 2014 · Houston, Tx

• L•• F•••••••• L•• to T••••••• I••••••••• M••••••••• I•••
  left Apr 1, 2024, registered Apr 2, 2024 (1 days) · Affiliated broker-dealer or bank to another
• K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
  left Dec 18, 2020, registered Feb 5, 2021 (49 days) · Affiliated broker-dealer or bank to another · moved with a team
• N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Sep 22, 2016, registered Apr 22, 2016 (-153 days) · corporate re-registration, not a move
• V•••• F•••••••• A•••••••• I••• to N•• A•••••• S•••••••• L••
  left Jan 17, 2014, registered Dec 11, 2014 (328 days) · Other

• ••• Locked
  Apr 1, 2024 · a•••••• firm change · 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