M••• E••••• J••••

• V••••••• A•••••••• I••• BD affiliated current
  since Oct 4, 2019 · Charlotte, Nc
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to May 20, 2008 · Austin, Tx
• M••••• S•••••• D• I••• unclassified
  Aug 29, 2003 to Apr 2, 2007 · Austin, Tx
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jun 29, 2001 to Sep 4, 2003 · Houston, Tx

• M••••• S•••••• • C•• L•• to V••••••• A•••••••• I•••
  left May 20, 2008, registered Oct 4, 2019 (4154 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••
  left Sep 4, 2003, registered Aug 29, 2003 (-6 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address