J••••• T••••• A••••

• L•• F•••••••• L•• BD affiliated current
  since May 13, 2019 · Bakersfield, Ca
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 23, 2009 to May 13, 2019 · San Francisco, Ca
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Aug 15, 2003 to Oct 23, 2009 · San Francisco, Ca
• B••• O• A•••••• S••••••••• L•• unclassified
  Feb 11, 2002 to Aug 20, 2003 · San Francisco, Ca

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
  left May 13, 2019, registered May 13, 2019 (0 days) · Wirehouse to independent RIA
• B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
• B••• O• A•••••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Aug 20, 2003, registered Aug 15, 2003 (-5 days) · corporate re-registration, not a move

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