T•• H••••• T••

• L•• F•••••••• L•• BD affiliated current
  since May 1, 2019 · Laguna Niguel, Ca
• C••• F•••••••• S•••••••• L••• former
  May 5, 2009 to Apr 22, 2019 · Los Angeles, Ca
• W••• I••••••••• I••• unclassified
  May 25, 2005 to Apr 25, 2006 · Los Angeles, Ca

• C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
  left Apr 22, 2019, registered May 1, 2019 (9 days) · Affiliated broker-dealer or bank to independent RIA
• W••• I••••••••• I••• to C••• F•••••••• S•••••••• L•••
  left Apr 25, 2006, registered May 5, 2009 (1106 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address