T•••• A• P••••••

• J••• M••••• S••••••••• L•• wirehouse current
  since Nov 4, 2021 · Los Angeles, Ca
• R•• C•••••• M••••••• L•• national BD
  May 11, 2010 to Nov 18, 2021 · Century City, Ca
• M••••• S•••••• wirehouse
  Jun 1, 2009 to May 19, 2010 · Los Angeles, Ca
• C•••••••• G••••• M•••••• I••• BD affiliated
  Apr 28, 2003 to Jun 1, 2009 · Los Angeles, Ca
• C••••• S••••• S••••••••• •••• L•• former
  Jan 17, 2003 to May 1, 2003 · Los Angeles, Ca
• P••••••• L•• unclassified
  Jul 8, 1997 to Jan 17, 2003 · Los Angeles, Ca

• R•• C•••••• M••••••• L•• to J••• M••••• S••••••••• L••
  left Nov 18, 2021, registered Nov 4, 2021 (-14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
• M••••• S•••••• to R•• C•••••• M••••••• L••
  left May 19, 2010, registered May 11, 2010 (-8 days) · Wirehouse to affiliated broker-dealer or bank
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• C••••• S••••• S••••••••• •••• L•• to C•••••••• G••••• M•••••• I•••
  left May 1, 2003, registered Apr 28, 2003 (-3 days) · Other
• P••••••• L•• to C••••• S••••• S••••••••• •••• L••
  left Jan 17, 2003, registered Jan 17, 2003 (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

Wirehousederived

Years in industry

36derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address