M•••••• P• H••••••

• L•• F•••••••• L•• BD affiliated current
  since Dec 17, 2021 · Bastrop, Tx
• O•••• W•••••• I••• BD affiliated
  Oct 16, 2017 to Dec 17, 2021 · Bastrop, Tx
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
  Dec 6, 2007 to Oct 18, 2017 · Lockhart, Tx
• A••••••• G•••••• S••••••••• I••••••••• unclassified
  Jun 16, 2006 to Dec 5, 2007 · Houston, Tx

• O•••• W•••••• I••• to L•• F•••••••• L••
  left Dec 17, 2021, registered Dec 17, 2021 (0 days) · Affiliated broker-dealer or bank to another
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• W•••••• I•••
  left Oct 18, 2017, registered Oct 16, 2017 (-2 days) · Other · moved with a team
• A••••••• G•••••• S••••••••• I••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
  left Dec 5, 2007, registered Dec 6, 2007 (1 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address