A•••• L••• F•••••

• R•• C•••••• M••••••• L•• national BD current
  since Jun 26, 2018 · St. Louis, Mo
• J••• M••••• S••••••••• L•• wirehouse
  Jan 21, 2011 to Jul 2, 2018 · Clayton, Mo
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jun 30, 2004 to Jan 25, 2011 · Chesterfield, Mo
• Q•••• • R•••••• I••• unclassified
  Sep 9, 2002 to Jul 9, 2004 · Overland Park, Ks

• J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••
  left Jul 2, 2018, registered Jun 26, 2018 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
  left Jan 25, 2011, registered Jan 21, 2011 (-4 days) · Wirehouse to wirehouse
• Q•••• • R•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Jul 9, 2004, registered Jun 30, 2004 (-9 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address