RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Sep 17, 2019 · Hickory, Nc
• S•••••••• F••••••••• I••• former
  Aug 26, 2013 to Sep 19, 2019 · Granite Falls, Nc
• W•• A•••••••• L• former
  May 13, 2008 to Aug 23, 2013 · Hickory, Nc
• C••••••• I••••••••• A•••••••• L•• unclassified
  Sep 3, 2007 to Dec 31, 2007 · Hickory, Nc
• A• G• E•••••• • S•••• I••• unclassified
  Apr 14, 2004 to Aug 21, 2007 · Hickory, Nc

• S•••••••• F••••••••• I••• to L•• F•••••••• L••
  left Sep 19, 2019, registered Sep 17, 2019 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
• W•• A•••••••• L• to S•••••••• F••••••••• I•••
  left Aug 23, 2013, registered Aug 26, 2013 (3 days) · Other
• C••••••• I••••••••• A•••••••• L•• to W•• A•••••••• L•
  left Dec 31, 2007, registered May 13, 2008 (134 days) · Other
• A• G• E•••••• • S•••• I••• to C••••••• I••••••••• A•••••••• L••
  left Aug 21, 2007, registered Sep 3, 2007 (13 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