K•••• P•••• D••••••

• I••••••••• F•••••••• P••••••• BD affiliated current
  since Dec 1, 2020 · Tampa, Fl
• A•••••• A••••••• S••••••• former
  Jun 23, 2014 to Dec 17, 2020 · Mason City, Ia
• P••• A••••• S••••••••• L•• BD affiliated
  Oct 3, 2003 to Jul 7, 2014 · Mason City, Ia

• A•••••• A••••••• S••••••• to I••••••••• F•••••••• P•••••••
  left Dec 17, 2020, registered Dec 1, 2020 (-16 days) · Affiliated broker-dealer or bank to another
• P••• A••••• S••••••••• L•• to A•••••• A••••••• S•••••••
  left Jul 7, 2014, registered Jun 23, 2014 (-14 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

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address