J••••• C••••••• S•••••••••

• S•••••• W••••• P•••••••• L•• BD affiliated current
  since Feb 14, 2024 · Redwood City, Ca
• O•••• W•••••• I••• BD affiliated
  Nov 2, 2018 to Feb 15, 2024 · San Carlos, Ca
• S••••••• I••••••••• I••• former
  Dec 17, 2004 to Nov 2, 2018 · San Mateo, Ca
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Nov 18, 2004 · San Jose, Ca
• Q•••• • R•••••• I••• unclassified
  Oct 9, 2002 to Oct 20, 2004 · San Jose, Ca
• M••••• S•••••• D• I••• unclassified
  Mar 1, 2002 to Oct 7, 2002 · San Jose, Ca

• O•••• W•••••• I••• to S•••••• W••••• P•••••••• L••
  left Feb 15, 2024, registered Feb 14, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
• S••••••• I••••••••• I••• to O•••• W•••••• I•••
  left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• I••••••••• I•••
  left Nov 18, 2004, registered Dec 17, 2004 (29 days) · Other
• Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to Q•••• • R•••••• I•••
  left Oct 7, 2002, registered Oct 9, 2002 (2 days) · Other

• ••• Locked
  Feb 15, 2024 · Advisor changed firm · 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