J•••••• L••• U••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Jun 25, 2018 · Altoona, Pa
• I••••••••• P••••••••• I••• former
  Jul 16, 2012 to Sep 25, 2018 · San Antonio, Tx
• C••••• A•••••• N••••••• L•• former
  Oct 11, 2011 to Apr 26, 2012 · Portage, Pa
• E•••••••• A•••••••• L•• national BD
  Oct 27, 2004 to Oct 11, 2006 · New York, Ny

• I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Sep 25, 2018, registered Jun 25, 2018 (-92 days) · corporate re-registration, not a move
• C••••• A•••••• N••••••• L•• to I••••••••• P••••••••• I•••
  left Apr 26, 2012, registered Jul 16, 2012 (81 days) · Other
• E•••••••• A•••••••• L•• to C••••• A•••••• N••••••• L••
  left Oct 11, 2006, registered Oct 11, 2011 (1826 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address