C•••••• T••••• C•••••

• P•••••••• S••••••••• I••• BD affiliated current
  since Jun 17, 2021 · Des Moines, Ia
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Aug 7, 2013 to Aug 3, 2018 · Houston, Tx
• N••• F•••••••• G••••• I••• former
  Feb 4, 2010 to May 31, 2013 · Houston, Tx
• I•••••• A•• P•••••• A•••• M••••••••• I••• unclassified
  Jan 29, 2008 to Jun 19, 2008 · Houston, Tx

• V•••• F•••••••• A•••••••• I••• to P•••••••• S••••••••• I•••
  left Aug 3, 2018, registered Jun 17, 2021 (1049 days) · Affiliated broker-dealer or bank to another
• N••• F•••••••• G••••• I••• to V•••• F•••••••• A•••••••• I•••
  left May 31, 2013, registered Aug 7, 2013 (68 days) · Other
• I•••••• A•• P•••••• A•••• M••••••••• I••• to N••• F•••••••• G••••• I•••
  left Jun 19, 2008, registered Feb 4, 2010 (595 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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address