M••••••• R•• R•••••••

• L•• F•••••••• L•• BD affiliated current
  since Feb 15, 2018 · Punta Gorda, Fl
• I••••• F•••••••• C••••••••• former
  Jun 1, 2011 to Feb 15, 2018 · Port Charlotte, Fl
• A••• A•••• M••••••••• I••• unclassified
  Aug 3, 2006 to Jun 1, 2010 · Rotonda West, Fl
• B••• O•• S••••••••• C••••••••• unclassified
  Jul 17, 2002 to May 13, 2005 · Lansing, Il
• U•• F•••••••• S••••••• I••• wirehouse
  Jun 26, 2000 to May 24, 2002 · Chicago, Il

• I••••• F•••••••• C••••••••• to L•• F•••••••• L••
  left Feb 15, 2018, registered Feb 15, 2018 (0 days) · corporate re-registration, not a move
• A••• A•••• M••••••••• I••• to I••••• F•••••••• C•••••••••
  left Jun 1, 2010, registered Jun 1, 2011 (365 days) · Other
• B••• O•• S••••••••• C••••••••• to A••• A•••• M••••••••• I•••
  left May 13, 2005, registered Aug 3, 2006 (447 days) · Other
• U•• F•••••••• S••••••• I••• to B••• O•• S••••••••• C•••••••••
  left May 24, 2002, registered Jul 17, 2002 (54 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