RIA Intelligence

• E••••• J•••• national BD current
  since Jul 30, 2021 · Shreveport, La
• N•••••• A••••••• BD affiliated
  May 4, 2016 to Jul 30, 2021 · Shreveport, La
• L•• F•••••••• L•• BD affiliated
  Dec 15, 2014 to Oct 6, 2020 · Shreveport, La
• E••••• J•••• national BD
  Jan 16, 2007 to Dec 17, 2014 · Shreveport, La

• N•••••• A••••••• to E••••• J••••
  left Jul 30, 2021, registered Jul 30, 2021 (0 days) · Affiliated broker-dealer or bank to another
• L•• F•••••••• L•• to N•••••• A•••••••
  left Oct 6, 2020, registered May 4, 2016 (-1616 days) · Other
• E••••• J•••• to L•• F•••••••• L••
  left Dec 17, 2014, registered Dec 15, 2014 (-2 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

National broker-dealer RIAderived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address