S•••••• T••••••••

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Nov 8, 2017 · Honolulu, Hi
• C••••• I••••••••• A••••••• L•• BD affiliated
  Apr 18, 2017 to Nov 1, 2017 · Honolulu, Hi
• L•• F•••••••• L•• BD affiliated
  Jul 5, 2011 to Apr 27, 2017 · Honolulu, Hi
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Sep 7, 2006 to Jul 5, 2011 · Honolulu, Hi

• C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Nov 1, 2017, registered Nov 8, 2017 (7 days) · Other
• L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
  left Apr 27, 2017, registered Apr 18, 2017 (-9 days) · Other · moved with a team
• U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
  left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move

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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address