D•••• P•••• J•••••

• E••••• J•••• national BD current
  since Sep 8, 2009 · Midvale, Ut
• S•••••••• A••••••• L•• national BD
  Jul 16, 2007 to Jul 31, 2009 · Salt Lake City, Ut
• M•• I•••••••• S•••••••• L•• BD affiliated
  Jun 16, 2004 to Dec 21, 2005 · Salt Lake City, Ut

• S•••••••• A••••••• L•• to E••••• J••••
  left Jul 31, 2009, registered Sep 8, 2009 (39 days) · Affiliated broker-dealer or bank to another
• M•• I•••••••• S•••••••• L•• to S•••••••• A••••••• L••
  left Dec 21, 2005, registered Jul 16, 2007 (572 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