J••• M•••••••

• C•••••• S••••• • C••• I••• national BD current
  since Jun 6, 2022 · Newport Beach, Ca
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Feb 18, 2010 to May 20, 2022 · Los Angeles, Ca
• H••• S••••••••• •••• I••• BD affiliated
  Dec 4, 2007 to Dec 22, 2008 · Beverly Hills, Ca
• C••••••• I••••••••• S••••••• unclassified
  Mar 14, 2003 to Jan 2, 2004 · Los Angles, Ca

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
  left May 20, 2022, registered Jun 6, 2022 (17 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Dec 22, 2008, registered Feb 18, 2010 (423 days) · Other
• C••••••• I••••••••• S••••••• to H••• S••••••••• •••• I•••
  left Jan 2, 2004, registered Dec 4, 2007 (1432 days) · Other

• ••• Locked
  May 20, 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

National broker-dealer RIAderived

Years in industry

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address