D•••••• L••• M•••••

• E•••• S••••••••• L•• BD affiliated current
  since Nov 21, 2020 · Huntsville, Al
• E•••• S••••••••• L•• BD affiliated
  Dec 11, 2018 to Feb 18, 2020 · Huntsville, Al
• R•••••• J•••• • A••••••••• I••• national BD
  Mar 17, 2017 to Apr 20, 2018 · Huntsville, Al
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Mar 21, 2017 · Huntsville, Al
• A• G• E•••••• • S•••• I••• unclassified
  Feb 18, 2004 to Jan 1, 2008 · Huntsville, Al

• R•••••• J•••• • A••••••••• I••• to E•••• S••••••••• L••
  left Apr 20, 2018, registered Dec 11, 2018 (235 days) · Affiliated broker-dealer or bank to another
• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left Mar 21, 2017, registered Mar 17, 2017 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• 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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address