W•••••• S•••• C•••

• C•••••••• G••••• M•••••• I••• BD affiliated current
  since Mar 11, 2011 · Rowland Heights, Ca
• U••• B•••••• A•••••••• L•• BD affiliated
  Feb 3, 2010 to Feb 28, 2011 · City Of Industry, Ca
• C•••••••• G••••• M•••••• I••• BD affiliated
  May 29, 2007 to Feb 4, 2010 · Monrovia, Ca
• C••••••• I••••••••• S••••••• unclassified
  Apr 23, 2004 to May 29, 2007 · City Of Industry, Ca

• U••• B•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••
  left Feb 28, 2011, registered Mar 11, 2011 (11 days) · Other
• C•••••••• G••••• M•••••• I••• to U••• B•••••• A•••••••• L••
  left Feb 4, 2010, registered Feb 3, 2010 (-1 days) · Other
• C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
  left May 29, 2007, registered May 29, 2007 (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

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