D•••• G•••• W••••••

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Nov 13, 2020 · Houston, Tx
• A• W••••• M••••••••• L•• BD affiliated
  Jan 22, 2020 to May 6, 2020 · Sugar Land, Tx
• C•••••• S••••• • C••• I••• national BD
  Apr 20, 2007 to Oct 11, 2019 · Webster, Tx
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Apr 23, 2004 to Apr 12, 2007 · Houston, Tx
• C•••••• S••••• • C••• I••• national BD
  Sep 2, 1999 to Aug 7, 2002 · Houston, Tx

• A• W••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left May 6, 2020, registered Nov 13, 2020 (191 days) · RIA to wirehouse
• C•••••• S••••• • C••• I••• to A• W••••• M••••••••• L••
  left Oct 11, 2019, registered Jan 22, 2020 (103 days) · Affiliated broker-dealer or bank to independent RIA
• V•••• F•••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
  left Apr 12, 2007, registered Apr 20, 2007 (8 days) · Other
• C•••••• S••••• • C••• I••• to V•••• F•••••••• A•••••••• I•••
  left Aug 7, 2002, registered Apr 23, 2004 (625 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

Wirehousederived

Years in industry

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address