W•••••• P••• W••••

• C•••••• A••••••• BD affiliated current
  since Mar 26, 2014 · Bethlehem, Pa
• L•••••• I••••••••• independent RIA current
  since Apr 6, 2011 · Bethlehem, Pa
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jun 30, 2009 to Dec 13, 2010 · Easton, Pa
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Jun 23, 2009 · Philadelphia, Pa
• C•••••••• G••••• M•••••• I••• BD affiliated
  Aug 31, 2007 to Jun 1, 2009 · Philadelphia, Pa
• W•••• F•••• A••••••• wirehouse
  Jul 18, 2006 to Sep 27, 2007 · Allentown, Pa

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•••••• I•••••••••
  left Dec 13, 2010, registered Apr 6, 2011 (114 days) · Other
• M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jun 23, 2009, registered Jun 30, 2009 (7 days) · Other
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••
  left Sep 27, 2007, registered Aug 31, 2007 (-27 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address