J••• M•••••• D••••

• T•• P•••••• P••••••• L•• state registered current
  since Dec 1, 2016 · Salt Lake City, Ut
• S•••••••• A••••••• L•• national BD
  May 17, 2011 to Aug 21, 2015 · Salt Lake City, Ut
• U••• F•••••••• P••••••• S••••••• former
  Feb 16, 2010 to Apr 12, 2011 · San Antonio, Tx
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Jan 4, 2008 to Mar 26, 2009 · Portland, Or

• S•••••••• A••••••• L•• to T•• P•••••• P••••••• L••
  left Aug 21, 2015, registered Dec 1, 2016 (468 days) · Affiliated broker-dealer or bank to a state-registered adviser
• U••• F•••••••• P••••••• S••••••• to S•••••••• A••••••• L••
  left Apr 12, 2011, registered May 17, 2011 (35 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••
  left Mar 26, 2009, registered Feb 16, 2010 (327 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

STATE REGISTEREDderived

Years in industry

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address