A•••••• L•••• S•••••••••

• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
  since Oct 10, 2019 · Elm Grove, Wi
• F•• S••••••••• C••••••••• former
  Jun 28, 2004 to Oct 9, 2019 · Wauwatosa, Wi
• B••• O•• S••••••••• C••••••••• unclassified
  Oct 29, 2003 to Jun 29, 2004 · Butler, Wi
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 7, 2003 to Oct 7, 2003 · Milwaukee, Wi

• F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Oct 9, 2019, registered Oct 10, 2019 (1 days) · corporate re-registration, not a move
• B••• O•• S••••••••• C••••••••• to F•• S••••••••• C•••••••••
  left Jun 29, 2004, registered Jun 28, 2004 (-1 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O•• S••••••••• C•••••••••
  left Oct 7, 2003, registered Oct 29, 2003 (22 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