J•••• T•••• D••••

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Lexington, Ky
• B••• S••••••••• L•• former
  Nov 14, 2014 to Feb 17, 2021 · Lexington, Ky
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Nov 17, 2014 · Lexington, Ky
• A• G• E•••••• • S•••• I••• unclassified
  Oct 29, 2003 to Jan 1, 2008 · Lexington, Ky

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••• S••••••••• L••
  left Nov 17, 2014, registered Nov 14, 2014 (-3 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 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