D•••• K•••••• C•••

• S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
  since Jul 3, 2022 · Stamford, Ct
• R•••••• J•••• • A••••••••• I••• national BD
  Jul 9, 2018 to Jul 21, 2022 · San Antonio, Tx
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Jul 12, 2018 · San Antonio, Tx
• P••••••••• E••••• G••••• L•• unclassified
  Oct 10, 2002 to Jul 1, 2003 · San Antonio, Tx

• R•••••• J•••• • A••••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••
  left Jul 21, 2022, registered Jul 3, 2022 (-18 days) · Affiliated broker-dealer or bank to another · moved with a team
• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left Jul 12, 2018, registered Jul 9, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

• D•••• K•••••• C••• left R•••••• J•••• • A••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2022-07-03)
  Jul 21, 2022 · Advisor changed firm · fact

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