J••••• L••

• T••••••••• F•••••••• A•••••••• L•• BD affiliated current
  since Jun 19, 2018 · West Covina, Ca
• E•• I••••••••• I••• unclassified
  Apr 26, 2016 to Jun 28, 2016 · San Gabriel, Ca
• S•••••••• F••••••••• I••• former
  Feb 18, 2014 to May 6, 2014 · Phoenix, Az
• W•••••• • R••• former
  Nov 25, 2008 to May 14, 2010 · Brea, Ca
• P•••• S••••••••• L•• no RAUM
  Oct 30, 2003 to Nov 2, 2007 · Brea, Ca
• E•••••••• A•••••••• L•• national BD
  Feb 9, 2000 to Feb 6, 2003 · Montey Park, Ca

• E•• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••
  left Jun 28, 2016, registered Jun 19, 2018 (721 days) · Other
• S•••••••• F••••••••• I••• to E•• I••••••••• I•••
  left May 6, 2014, registered Apr 26, 2016 (721 days) · Other
• W•••••• • R••• to S•••••••• F••••••••• I•••
  left May 14, 2010, registered Feb 18, 2014 (1376 days) · Other
• P•••• S••••••••• L•• to W•••••• • R•••
  left Nov 2, 2007, registered Nov 25, 2008 (389 days) · Other
• E•••••••• A•••••••• L•• to P•••• S••••••••• L••
  left Feb 6, 2003, registered Oct 30, 2003 (266 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

Broker-dealer affiliated wealth managerderived

Years in industry

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address