RIA Intelligence

• R•••••• J•••• • A••••••••• I••• national BD current
  since May 12, 2021 · Orlando, Fl
• W•••• F•••• A••••••• wirehouse
  Sep 2, 2008 to May 17, 2021 · Orlando, Fl
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Feb 24, 2003 to Aug 28, 2008 · Kissimmee, Fl
• U•• F•••••••• S••••••• I••• wirehouse
  Feb 18, 1999 to Mar 20, 2003 · Orlando, Fl

• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left May 17, 2021, registered May 12, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
  left Aug 28, 2008, registered Sep 2, 2008 (5 days) · Other
• U•• F•••••••• S••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Mar 20, 2003, registered Feb 24, 2003 (-24 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