H••••• L•••• R••••••

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Aug 9, 2016 · Tomball, Tx
• L•• F•••••••• L•• BD affiliated
  Jul 5, 2011 to Aug 4, 2016 · Houston, Tx
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Nov 6, 2009 to Jul 5, 2011 · Houston, Tx
• W•••• F•••• A••••••• wirehouse
  May 14, 2007 to Mar 17, 2009 · Birmingham, Al
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Jun 1, 2006 to May 7, 2007 · Harker Heights, Tx

• L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Aug 4, 2016, registered Aug 9, 2016 (5 days) · Other · moved with a team
• U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
  left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to U•••• F•••••••• S••••••• G••••• I•••
  left Mar 17, 2009, registered Nov 6, 2009 (234 days) · Other
• U•••• F•••••••• S••••••• G••••• I••• to W•••• F•••• A•••••••
  left May 7, 2007, registered May 14, 2007 (7 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