R••••• D••• C•••••

• C•••••• S••••• • C••• I••• national BD current
  since Oct 20, 2023 · Westlake, Tx
• C•••••• S••••• • C••• I••• national BD
  Aug 15, 2023 to Sep 7, 2023 · Westlake, Tx
• T• A••••••••• I••••••••• M••••••••• L•• former
  Nov 30, 2006 to Sep 7, 2023 · Fort Worth, Tx
• T• A••••••••• I••• former
  Nov 30, 2006 to Oct 14, 2022 · Omaha, Ne
• U••• I••••••••• S••••••• C•••••• no RAUM
  Apr 28, 2006 to Sep 5, 2006 · San Antonio, Tx

• T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
  left Sep 7, 2023, registered Aug 15, 2023 (-23 days) · corporate re-registration, not a move
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Oct 14, 2022, registered Nov 30, 2006 (-5797 days) · corporate re-registration, not a move
• U••• I••••••••• S••••••• C•••••• to T• A••••••••• I•••
  left Sep 5, 2006, registered Nov 30, 2006 (86 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

National broker-dealer RIAderived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address