RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Sep 1, 2019 · Southport, Nc
• W•••• F•••• A••••••• wirehouse
  Jun 27, 2014 to Aug 7, 2019 · Raleigh, Nc
• F•••• C••••••• I••••••• S•••••••• I••• BD affiliated
  Jan 4, 2011 to Jul 2, 2014 · Garner, Nc
• C•• A•••••••• L•• unclassified
  Aug 19, 2004 to Jan 5, 2011 · Raleigh, Nc
• E•••••••• A•••••••• L•• national BD
  Jun 9, 2003 to Jul 16, 2004 · Raleigh, Nc

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Aug 7, 2019, registered Sep 1, 2019 (25 days) · Wirehouse to affiliated broker-dealer or bank
• F•••• C••••••• I••••••• S•••••••• I••• to W•••• F•••• A•••••••
  left Jul 2, 2014, registered Jun 27, 2014 (-5 days) · Other
• C•• A•••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••
  left Jan 5, 2011, registered Jan 4, 2011 (-1 days) · Other
• E•••••••• A•••••••• L•• to C•• A•••••••• L••
  left Jul 16, 2004, registered Aug 19, 2004 (34 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