J•••••• T••••• D••

• C•••••• S••••• • C••• I••• national BD current
  since Nov 7, 2018 · Louisville, Ky
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 13, 2018 to Oct 17, 2018 · Boston, Ma
• S•••••••• A••••••• L•• national BD
  Sep 23, 2015 to Jul 13, 2018 · Louisville, Ky
• F••••• I••••••••• independent RIA
  May 13, 2013 to Jul 16, 2014 · Park City, Ut

• F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
  left Oct 17, 2018, registered Nov 7, 2018 (21 days) · Affiliated broker-dealer or bank to another · moved with a team
• S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
• F••••• I••••••••• to S•••••••• A••••••• L••
  left Jul 16, 2014, registered Sep 23, 2015 (434 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

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address