L•••••• E••••• S••••••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Feb 13, 2013 · Weston, Fl
• M••••• K••••• • C••••••• L•• former
  Jan 12, 2009 to Feb 13, 2013 · Ft. Lauderdale, Fl
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Jan 22, 2009 · Fort Lauderdale, Fl
• A• G• E•••••• • S•••• I••• unclassified
  Dec 9, 2005 to Jan 1, 2008 · Ft. Lauderdale, Fl
• M••••• S•••••• D• I••• unclassified
  Nov 15, 1999 to Dec 3, 2002 · Plantation, Fl

• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••
  left Jan 22, 2009, registered Jan 12, 2009 (-10 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to A• G• E•••••• • S•••• I•••
  left Dec 3, 2002, registered Dec 9, 2005 (1102 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