RIA Intelligence

• A••••• A•• P••••••• S••••••• BD affiliated current
  since Jan 10, 2018 · Birmingham, Al
• O•••• F•• I••• former
  Dec 21, 2016 to Dec 18, 2017 · Iuka, Ms
• F•••• A••••• A••••••• S•••••••• I••• former
  Jul 29, 2014 to Nov 28, 2016 · Indianapolis, In
• O••••••••• S••••••••• I••• BD affiliated
  May 4, 2009 to Aug 1, 2014 · Indianapolis, In
• E••••• J•••• national BD
  Apr 25, 2006 to Mar 10, 2009 · St Louis, Mo
• C•••••• S••••• • C••• I••• national BD
  Feb 4, 2003 to Apr 17, 2006 · Fishers (Indianapolis), In

• O•••• F•• I••• to A••••• A•• P••••••• S•••••••
  left Dec 18, 2017, registered Jan 10, 2018 (23 days) · Other
• F•••• A••••• A••••••• S•••••••• I••• to O•••• F•• I•••
  left Nov 28, 2016, registered Dec 21, 2016 (23 days) · Other
• O••••••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••
  left Aug 1, 2014, registered Jul 29, 2014 (-3 days) · Other
• E••••• J•••• to O••••••••• S••••••••• I•••
  left Mar 10, 2009, registered May 4, 2009 (55 days) · Other
• C•••••• S••••• • C••• I••• to E••••• J••••
  left Apr 17, 2006, registered Apr 25, 2006 (8 days) · Affiliated broker-dealer or bank to another

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