C•••• M•••• P••••• E••••••

• L•• F•••••••• L•• BD affiliated current
  since Sep 30, 2024 · Spring Valley, Ca
• J•• L••••• A••••••• L•• unclassified
  Dec 8, 2016 to Oct 31, 2024 · Spring Valley, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Oct 20, 2011 · San Diego, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Oct 13, 2006 to Jan 3, 2011 · San Diego, Ca
• L••• • G••••••• I••• unclassified
  May 3, 2002 to Dec 19, 2006 · La Mesa, Ca

• J•• L••••• A••••••• L•• to L•• F•••••••• L••
  left Oct 31, 2024, registered Sep 30, 2024 (-31 days) · Other
• W•••• F•••• A••••••• to J•• L••••• A••••••• L••
  left Oct 20, 2011, registered Dec 8, 2016 (1876 days) · Other
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
• L••• • G••••••• I••• to W•••• F•••• I••••••••• L••
  left Dec 19, 2006, registered Oct 13, 2006 (-67 days) · Other

• ••• Locked
  Oct 31, 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