K•••• H••••• W•••••

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Feb 18, 2015 · Rogers, Ar
• R•••••• J•••• • A••••••••• I••• national BD
  Feb 13, 2013 to Feb 18, 2015 · Rogers, Ar
• M••••• K••••• • C••••••• L•• former
  Jan 9, 2009 to Feb 13, 2013 · Rogers, Ar
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jul 14, 2000 to Jan 14, 2009 · Rogers, Ar

• R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Feb 18, 2015, registered Feb 18, 2015 (0 days) · Other · moved with a team
• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• K••••• • C••••••• L••
  left Jan 14, 2009, registered Jan 9, 2009 (-5 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