A••• B• L••••••

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Beachwood, Oh
• S•••••••• F••••••••• I••• former
  Dec 22, 2016 to Sep 1, 2023 · Pepper Pike, Oh
• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
  Jan 16, 2007 to Dec 19, 2016 · Westlake, Oh
• K•••••• C•••••• M•••••• I••• unclassified
  Oct 2, 2003 to Jan 26, 2007 · Brooklyn, Oh
• R••••• W• B•••• • C•• I••••••••• mixed wealth
  Jul 14, 2003 to Aug 7, 2003 · Cleveland, Oh
• R••••• W• B•••• • C•• I••••••••• mixed wealth
  Jan 30, 2003 to Jul 8, 2003 · Cleveland, Oh

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••••• F••••••••• I•••
  left Dec 19, 2016, registered Dec 22, 2016 (3 days) · Other
• K•••••• C•••••• M•••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Jan 26, 2007, registered Jan 16, 2007 (-10 days) · Other
• R••••• W• B•••• • C•• I••••••••• to K•••••• C•••••• M•••••• I•••
  left Aug 7, 2003, registered Oct 2, 2003 (56 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address