J••••• D••••• L••••

• L•• F•••••••• L•• BD affiliated current
  since Jul 21, 2021 · Duvall, Wa
• W•••••• • R••• former
  Aug 24, 2009 to Jul 21, 2021 · Bellevue, Wa
• T• A••••••••• I••••••••• M••••••••• L•• former
  Jul 3, 2006 to Nov 11, 2008 · Bellevue, Wa
• T• A••••••••• I••• former
  Jul 3, 2006 to Nov 11, 2008 · Bellevue, Wa
• M••••• S•••••• D• I••• unclassified
  Mar 11, 2002 to Aug 29, 2005 · Bellevue, Wa

• W•••••• • R••• to L•• F•••••••• L••
  left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
• T• A••••••••• I••••••••• M••••••••• L•• to W•••••• • R•••
  left Nov 11, 2008, registered Aug 24, 2009 (286 days) · Other
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Nov 11, 2008, registered Jul 3, 2006 (-862 days) · channel change inside one enterprise, not a move
• M••••• S•••••• D• I••• to T• A••••••••• I•••
  left Aug 29, 2005, registered Jul 3, 2006 (308 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