H•••• W•• S••• L••

• H••• S••••••••• •••• I••• BD affiliated current
  since Sep 2, 2016 · San Mateo, Ca
• J••• M••••• S••••••••• L•• wirehouse
  Jul 16, 2015 to Aug 31, 2016 · Fremont, Ca
• C•••••••• G••••• M•••••• I••• BD affiliated
  Aug 4, 2014 to Jun 17, 2015 · Dublin, Ca
• C•••••• S••••• • C••• I••• national BD
  Feb 20, 2013 to Aug 28, 2013 · Cupertino, Ca

• J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••
  left Aug 31, 2016, registered Sep 2, 2016 (2 days) · Other
• C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
  left Jun 17, 2015, registered Jul 16, 2015 (29 days) · Other
• C•••••• S••••• • C••• I••• to C•••••••• G••••• M•••••• I•••
  left Aug 28, 2013, registered Aug 4, 2014 (341 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