R•••• R••• P••••••

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Bettendorf, Ia
• S•••••••• F••••••••• I••• former
  Aug 29, 2012 to Sep 1, 2023 · Scottsdale, Az
• N••• F•••••••• G••••• I••• former
  Oct 28, 2008 to Aug 28, 2012 · Bettendorf, Ia
• C••••• 1•• W••••• M••••••••• I••• unclassified
  Oct 7, 2002 to Nov 15, 2010 · Betendorf, Ia

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••
  left Aug 28, 2012, registered Aug 29, 2012 (1 days) · Other
• C••••• 1•• W••••• M••••••••• I••• to N••• F•••••••• G••••• I•••
  left Nov 15, 2010, registered Oct 28, 2008 (-748 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

Broker-dealer affiliated wealth managerderived

Years in industry

40derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address