K••••••• A• C••••••••

• O•••• A••••••• S•••••••• L•• BD affiliated current
  since Jan 16, 2024 · Colorado Springs, Co
• A••••••••• F•••••••• S•••••••• L•• national BD
  Sep 20, 2022 to Jan 18, 2024 · Colorado Springs, Co
• A••••••••• F•••••••• S•••••••• L•• national BD
  Sep 8, 2011 to Apr 4, 2022 · Denver, Co
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Oct 29, 2009 · Denver, Co
• A• G• E•••••• • S•••• I••• unclassified
  May 11, 2004 to Jan 1, 2008 · Wilmington, Nc
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jun 25, 2003 to Mar 29, 2004 · Santa Monica, Ca

• A••••••••• F•••••••• S•••••••• L•• to O•••• A••••••• S•••••••• L••
  left Jan 18, 2024, registered Jan 16, 2024 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
• W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 29, 2009, registered Sep 8, 2011 (679 days) · Wirehouse to affiliated broker-dealer or bank
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to A• G• E•••••• • S•••• I•••
  left Mar 29, 2004, registered May 11, 2004 (43 days) · Other

• ••• Locked
  Jan 18, 2024 · 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

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