D•••• J• K•••

• L•• F•••••••• L•• BD affiliated current
  since May 15, 2023 · Mchenry, Il
• S•• BD affiliated
  Aug 18, 2014 to May 15, 2023 · Rockford, Il
• R••••• W• B•••• • C•• I••••••••• mixed wealth
  Nov 7, 2008 to Aug 22, 2014 · Rockford, Il
• A••••••••• A•••••• S•••••••• I••• unclassified
  Feb 15, 2006 to Nov 10, 2008 · St. Charles, Il

• S•• to L•• F•••••••• L••
  left May 15, 2023, registered May 15, 2023 (0 days) · corporate re-registration, not a move
• R••••• W• B•••• • C•• I••••••••• to S••
  left Aug 22, 2014, registered Aug 18, 2014 (-4 days) · Other
• A••••••••• A•••••• S•••••••• I••• to R••••• W• B•••• • C•• I•••••••••
  left Nov 10, 2008, registered Nov 7, 2008 (-3 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