T•••• D•••

• E••••• J•••• national BD current
  since Dec 22, 2021 · Leland, Nc
• W•••• F•••• A••••••• wirehouse
  Sep 28, 2018 to Dec 22, 2021 · Wilmington, Nc
• P•• W••••• M••••••••• BD affiliated
  Nov 23, 2012 to Oct 19, 2018 · Calabash, Nc
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jan 2, 2009 to Nov 19, 2012 · Wilmington, Nc
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  Mar 2, 2006 to Jan 2, 2009 · Wilmington, Nc
• M••••• S•••••• D• I••• unclassified
  Dec 31, 2000 to Aug 29, 2005 · Wilmington, Nc

• W•••• F•••• A••••••• to E••••• J••••
  left Dec 22, 2021, registered Dec 22, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank
• P•• W••••• M••••••••• to W•••• F•••• A•••••••
  left Oct 19, 2018, registered Sep 28, 2018 (-21 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P•• W••••• M•••••••••
  left Nov 19, 2012, registered Nov 23, 2012 (4 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to R•••••• J•••• F•••••••• S•••••••• I•••
  left Aug 29, 2005, registered Mar 2, 2006 (185 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address