R•••••• M•••• A•••••••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 27, 2023 · Boca Raton, Fl
• S••••• F•••••••• G•••• I•• former
  Oct 29, 2010 to May 20, 2021 · Boca Raton, Fl
• U•• F•••••••• S••••••• I••• wirehouse
  Jan 1, 2010 to Jul 12, 2010 · Houston, Tx
• U•• I••••••••• I••• unclassified
  Nov 14, 2007 to Jan 1, 2010 · Houston, Tx
• S••••••• G•••• C•••••• unclassified
  Jul 16, 2001 to Nov 15, 2007 · Houston, Tx

• S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
  left May 20, 2021, registered Jun 27, 2023 (768 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to S••••• F•••••••• G•••• I••
  left Jul 12, 2010, registered Oct 29, 2010 (109 days) · Other
• U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••
  left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
• S••••••• G•••• C•••••• to U•• I••••••••• I•••
  left Nov 15, 2007, registered Nov 14, 2007 (-1 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address