T••••• R••••• R••••

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Greenville, Nc
• B••• S••••••••• L•• former
  Jun 9, 2014 to Feb 17, 2021 · Greenville, Nc
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Feb 11, 2004 to Jun 9, 2014 · Greenville, Nc
• W• G••••••• S••••••••• I••• unclassified
  Sep 9, 2003 to Feb 17, 2004 · Raleigh, Nc

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• L••
  left Jun 9, 2014, registered Jun 9, 2014 (0 days) · Other
• W• G••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Feb 17, 2004, registered Feb 11, 2004 (-6 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address