K•••••• G••••• T••••••••

• V••••••••• A••••••• S••••••• BD affiliated current
  since Sep 27, 2022 · San  Jose , Ca
• L•• F•••••••• L•• BD affiliated
  Nov 23, 2020 to Aug 22, 2022 · San Jose, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Nov 20, 2020 · San Jose, Ca
• A• G• E•••••• • S•••• I••• unclassified
  Aug 18, 2004 to Jan 1, 2008 · San Jose, Ca

• L•• F•••••••• L•• to V••••••••• A••••••• S•••••••
  left Aug 22, 2022, registered Sep 27, 2022 (36 days) · RIA to affiliated broker-dealer or bank
• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Nov 20, 2020, registered Nov 23, 2020 (3 days) · Wirehouse to affiliated broker-dealer or bank
• 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

• ••• Locked
  Aug 22, 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