R•••••• P••• E•••••

• L•• F•••••••• L•• BD affiliated current
  since Mar 12, 2024 · Lake Charles, La
• C••••• I••••••••• A••••••• L•• BD affiliated
  Jan 21, 2014 to Mar 11, 2024 · Lake Charles, La
• C••••• I••••••••• S••••••• L•• former
  Apr 20, 2009 to Jan 21, 2014 · Lake Charles, La
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Sep 22, 2006 to Apr 20, 2009 · Lake Charles, La

• C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
  left Mar 11, 2024, registered Mar 12, 2024 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
• C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
  left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••
  left Apr 20, 2009, registered Apr 20, 2009 (0 days) · Other

• ••• Locked
  Mar 11, 2024 · Advisor changed firm · fact

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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address