K•••••• L••• P••••••

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Feb 9, 2017 · Indianapolis, In
• R•••••• J•••• • A••••••••• I••• national BD
  Nov 9, 2007 to Feb 1, 2017 · Carmel, In
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Nov 14, 2007 · Indianapolis, In
• P••••••••• E••••• G••••• L•• unclassified
  Sep 17, 2002 to Jul 1, 2003 · Indianapolis, In

• R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Feb 1, 2017, registered Feb 9, 2017 (8 days) · Other · moved with a team
• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left Nov 14, 2007, registered Nov 9, 2007 (-5 days) · Wirehouse to affiliated broker-dealer or bank
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (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