J•• O••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Greenwood Village, Co
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 13, 2018 to Mar 31, 2025 · Boston, Ma
• S•••••••• A••••••• L•• national BD
  Jan 3, 2013 to Jul 13, 2018 · Lone Tree, Co
• U•• F•••••••• S••••••• I••• wirehouse
  Aug 12, 2005 to Oct 31, 2006 · Manalapan, Nj
• N•• E•••••• S••••••••• C••••••••• former
  Jul 22, 2002 to Aug 16, 2005 · Neptune, Nj

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to S•••••••• A••••••• L••
  left Oct 31, 2006, registered Jan 3, 2013 (2256 days) · Wirehouse to affiliated broker-dealer or bank
• N•• E•••••• S••••••••• C••••••••• to U•• F•••••••• S••••••• I•••
  left Aug 16, 2005, registered Aug 12, 2005 (-4 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

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address