B••••• K• F••••••

• E••••• J•••• national BD current
  since Jun 3, 2019 · Morehead City, Nc
• L•• F•••••••• L•• BD affiliated
  Sep 6, 2018 to Jun 12, 2019 · Redding, Ca
• C••••• A•••••• N••••••• L•• former
  Mar 10, 2017 to Oct 1, 2018 · Redding, Ca
• W•••••• • R••• former
  Sep 14, 2012 to Sep 7, 2016 · Overland Park, Ks

• L•• F•••••••• L•• to E••••• J••••
  left Jun 12, 2019, registered Jun 3, 2019 (-9 days) · RIA to affiliated broker-dealer or bank
• C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
  left Oct 1, 2018, registered Sep 6, 2018 (-25 days) · corporate re-registration, not a move
• W•••••• • R••• to C••••• A•••••• N••••••• L••
  left Sep 7, 2016, registered Mar 10, 2017 (184 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