K•••• A•• F••••••

• A••••• A•• P••••••• S••••••• BD affiliated current
  since Feb 7, 2014 · New Port Beach, Ca
• A••••• A•• P••••••• S••••••• BD affiliated
  Apr 3, 2009 to Oct 1, 2013 · Pasadena, Ca
• U••• B•••••• A•••••••• L•• BD affiliated
  Dec 2, 2003 to Jan 27, 2009 · Los Angeles, Ca
• S••••••• F•••••••• S•••••••• I••• former
  Nov 7, 2002 to Dec 3, 2003 · Newport Beach, Ca

• U••• B•••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••
  left Jan 27, 2009, registered Apr 3, 2009 (66 days) · Other
• S••••••• F•••••••• S•••••••• I••• to U••• B•••••• A•••••••• L••
  left Dec 3, 2003, registered Dec 2, 2003 (-1 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address