R•••••• S•••••• O••••••••

• L•• F•••••••• L•• BD affiliated current
  since Mar 6, 2025 · Carmel, In
• I• A••••••• S•••••••• I••• former
  Mar 21, 2023 to Mar 6, 2025 · Chicago, Il
• I• A••••••• S•••••••• I••• former
  Dec 2, 2010 to Dec 31, 2022 · Chicago, Il
• C•••••••• G••••• M•••••• I••• BD affiliated
  May 29, 2007 to Dec 17, 2008 · Chicago, Il
• C••••••• I••••••••• S••••••• unclassified
  Nov 27, 2006 to May 29, 2007 · Chicago, Il
• A••••••••• F•••••••• S•••••••• L•• national BD
  Mar 5, 2003 to Aug 5, 2003 · Lombard, Il

• I• A••••••• S•••••••• I••• to L•• F•••••••• L••
  left Mar 6, 2025, registered Mar 6, 2025 (0 days) · corporate re-registration, not a move
• C•••••••• G••••• M•••••• I••• to I• A••••••• S•••••••• I•••
  left Dec 17, 2008, registered Dec 2, 2010 (715 days) · Other
• C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
  left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to C••••••• I••••••••• S•••••••
  left Aug 5, 2003, registered Nov 27, 2006 (1210 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