RIA Intelligence

• E••••• J•••• national BD current
  since Feb 9, 2018 · Lancaster, Oh
• A••••••••• F•••••••• S•••••••• L•• national BD
  Apr 2, 2009 to Feb 6, 2018 · Lancaster, Oh
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Sep 14, 2007 to Apr 9, 2009 · Columbus, Oh
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jul 16, 2004 to Sep 14, 2007 · Columbus, Oh

• A••••••••• F•••••••• S•••••••• L•• to E••••• J••••
  left Feb 6, 2018, registered Feb 9, 2018 (3 days) · Affiliated broker-dealer or bank to another
• V•••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Apr 9, 2009, registered Apr 2, 2009 (-7 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••
  left Sep 14, 2007, registered Sep 14, 2007 (0 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

National broker-dealer RIAderived

Years in industry

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address