S••••••• C•••••

• L•• F•••••••• L•• BD affiliated current
  since Dec 27, 2016 · San Diego, Ca
• N••• F•••••••• G••••• I••• former
  Jul 25, 2008 to Sep 17, 2012 · Houston, Tx
• W••• I••••••••• I••• unclassified
  Aug 30, 2006 to Jun 16, 2008 · Irvine, Ca
• S••••••• I••••••••• S•••••••• I••• former
  Jan 3, 2005 to Feb 15, 2005 · Durham, Nc
• N•• F•••••••• S•••••••• I••• unclassified
  Sep 30, 2002 to Jan 3, 2005 · Raleigh, Nc
• I••••• F•••••••• C••••••••• former
  Jan 24, 2002 to Sep 30, 2002 · Durham, Nc

• N••• F•••••••• G••••• I••• to L•• F•••••••• L••
  left Sep 17, 2012, registered Dec 27, 2016 (1562 days) · Other
• W••• I••••••••• I••• to N••• F•••••••• G••••• I•••
  left Jun 16, 2008, registered Jul 25, 2008 (39 days) · Other
• S••••••• I••••••••• S•••••••• I••• to W••• I••••••••• I•••
  left Feb 15, 2005, registered Aug 30, 2006 (561 days) · Other
• N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••
  left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
• I••••• F•••••••• C••••••••• to N•• F•••••••• S•••••••• I•••
  left Sep 30, 2002, registered Sep 30, 2002 (0 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