T••••• E••••• G••••••

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Aug 26, 2011 · Houston, Tx
• L•• F•••••••• L•• BD affiliated
  Jun 9, 2009 to Sep 7, 2011 · Houston, Tx
• F•• S••••••••• C••••••••• former
  Feb 27, 2009 to Jun 5, 2009 · Houston, Tx
• A•••••••• C•••••• C••••••••• unclassified
  Jun 1, 2005 to Feb 27, 2009 · Houston, Tx
• N•• E•••••• S••••••••• C••••••••• former
  Dec 19, 2002 to May 17, 2004 · Houston, Tx

• L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Sep 7, 2011, registered Aug 26, 2011 (-12 days) · Other
• F•• S••••••••• C••••••••• to L•• F•••••••• L••
  left Jun 5, 2009, registered Jun 9, 2009 (4 days) · Other
• A•••••••• C•••••• C••••••••• to F•• S••••••••• C•••••••••
  left Feb 27, 2009, registered Feb 27, 2009 (0 days) · corporate re-registration, not a move
• N•• E•••••• S••••••••• C••••••••• to A•••••••• C•••••• C•••••••••
  left May 17, 2004, registered Jun 1, 2005 (380 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

Wirehousederived

Years in industry

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address