D•••• T•••••

• L•• F•••••••• L•• BD affiliated current
  since Aug 2, 2011 · Escondido, Ca
• C••• F•••••••• S•••••••• L••• former
  Jul 16, 2009 to Jul 20, 2011 · La Mesa, Ca
• C•••• I••••••••• S••••••• C•••• former
  May 2, 2009 to Jul 13, 2009 · San Diego, Ca
• W••• I••••••••• I••• unclassified
  Oct 18, 2005 to May 2, 2009 · San Diego, Ca
• A••••••••• F•••••••• S•••••••• L•• national BD
  Sep 21, 2001 to Oct 3, 2005 · San Diego, Ca

• C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
  left Jul 20, 2011, registered Aug 2, 2011 (13 days) · Other
• C•••• I••••••••• S••••••• C•••• to C••• F•••••••• S•••••••• L•••
  left Jul 13, 2009, registered Jul 16, 2009 (3 days) · Other
• W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
  left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to W••• I••••••••• I•••
  left Oct 3, 2005, registered Oct 18, 2005 (15 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