RIA Intelligence

• R•••••• J•••• • A••••••••• I••• national BD current
  since Aug 20, 2019 · Memphis, Tn
• B• R•••• W••••• M••••••••• former
  Sep 5, 2018 to Aug 14, 2019 · Memphis, Tn
• R•••••• J•••• • A••••••••• I••• national BD
  Sep 16, 2016 to Sep 4, 2018 · Memphis, Tn
• M••••• K••••• • C••••••• L•• former
  Mar 18, 2004 to Apr 17, 2012 · Memphis, Tn

• B• R•••• W••••• M••••••••• to R•••••• J•••• • A••••••••• I•••
  left Aug 14, 2019, registered Aug 20, 2019 (6 days) · Affiliated broker-dealer or bank to another
• R•••••• J•••• • A••••••••• I••• to B• R•••• W••••• M•••••••••
  left Sep 4, 2018, registered Sep 5, 2018 (1 days) · Other
• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Apr 17, 2012, registered Sep 16, 2016 (1613 days) · channel change inside one enterprise, 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

National broker-dealer RIAderived

Years in industry

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address