L•••• R• M••••••••

• I••••••••• F•••••••• G••••• L•• BD affiliated current
  since Sep 16, 2015 · Prescott, Az
• L•• F•••••••• L•• BD affiliated
  Jun 5, 2015 to Jul 21, 2015 · Cottonwood, Az
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Dec 12, 2014 · Cottonwood, Az
• C•••• I••••••••• S••••••• C•••• former
  Feb 23, 2009 to Oct 1, 2012 · Cottonwood, Az

• L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••
  left Jul 21, 2015, registered Sep 16, 2015 (57 days) · Other · moved with a team
• J••• M••••• S••••••••• L•• to L•• F•••••••• L••
  left Dec 12, 2014, registered Jun 5, 2015 (175 days) · Other
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (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