W•••••• J••••• M•••••••

• W•••••• S••••••••• I••• BD affiliated current
  since May 24, 2017 · New York, Ny
• T• A••••••••• I••••••••• M••••••••• L•• former
  Dec 1, 2009 to Jun 23, 2016 · Santa Monica, Ca
• T• A••••••••• I••• former
  Dec 1, 2009 to Jun 23, 2016 · Los Angeles, Ca
• W•••••• • R••• former
  Jul 20, 2009 to Nov 17, 2009 · Torrance, Ca
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Jul 24, 2008 · Beverly Hills, Ca
• M••••• S•••••• D• I••• unclassified
  Feb 6, 2006 to Apr 2, 2007 · Chicago, Il

• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Jun 23, 2016, registered Dec 1, 2009 (-2396 days) · Other
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Jun 23, 2016, registered Dec 1, 2009 (-2396 days) · channel change inside one enterprise, not a move · moved with a team
• W•••••• • R••• to T• A••••••••• I••••••••• M••••••••• L••
  left Nov 17, 2009, registered Dec 1, 2009 (14 days) · Other
• M••••• S•••••• • C•• L•• to W•••••• • R•••
  left Jul 24, 2008, registered Jul 20, 2009 (361 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (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

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address