R•••••• T••••• W•••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Oct 5, 2009 · Charlotte, Nc
• A••••••••• A•••••• S•••••••• I••• unclassified
  Jun 25, 2003 to Oct 5, 2009 · Charlotte, Nc
• C•••••• L•• independent RIA
  Mar 6, 2003 to Jun 25, 2003 · Charlotte, Nc
• U•• F•••••••• S••••••• I••• wirehouse
  May 22, 2001 to May 7, 2002 · High Point, Nc

• A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
• C•••••• L•• to A••••••••• A•••••• S•••••••• I•••
  left Jun 25, 2003, registered Jun 25, 2003 (0 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to C•••••• L••
  left May 7, 2002, registered Mar 6, 2003 (303 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

National broker-dealer RIAderived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address