M•••••• L••••••• M•••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since May 9, 2016 · The Woodlands, Tx
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to May 5, 2016 · Houston, Tx
• P••••••••• E••••• G••••• L•• unclassified
  Aug 31, 1998 to Jul 1, 2003 · Houston, Tx

• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left May 5, 2016, registered May 9, 2016 (4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

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

National broker-dealer RIAderived

Years in industry

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address