C•••• S•••••• S••

• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
  since Jul 31, 2012 · Cupertino, Ca
• A••••••••• F•••••••• S•••••••• L•• national BD
  Feb 25, 2010 to Jul 5, 2012 · Redwood City, Ca
• N••• F•••••••• G••••• I••• former
  Oct 9, 2008 to Feb 25, 2010 · Cupertino, Ca
• A•••••• A••••••• S••••••• former
  Mar 8, 2007 to Feb 13, 2009 · Cupertino, Ca

• A••••••••• F•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Jul 5, 2012, registered Jul 31, 2012 (26 days) · Other
• N••• F•••••••• G••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Feb 25, 2010, registered Feb 25, 2010 (0 days) · Other
• A•••••• A••••••• S••••••• to N••• F•••••••• G••••• I•••
  left Feb 13, 2009, registered Oct 9, 2008 (-127 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address