B•••• G•••••• S••••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Jun 5, 2012 · Maitland, Fl
• S••••• W••••• A•••••••• I••• no RAUM
  Feb 14, 2012 to Jun 28, 2012 · Orlando, Fl
• C•••••• S••••• • C••• I••• national BD
  Jun 24, 2009 to Mar 22, 2012 · Orlando, Fl
• A• G• E•••••• • S•••• I••• unclassified
  Mar 18, 2003 to Feb 15, 2005 · Lake Mary, Fl

• S••••• W••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Jun 28, 2012, registered Jun 5, 2012 (-23 days) · Other
• C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
  left Mar 22, 2012, registered Feb 14, 2012 (-37 days) · channel change inside one enterprise, not a move
• A• G• E•••••• • S•••• I••• to C•••••• S••••• • C••• I•••
  left Feb 15, 2005, registered Jun 24, 2009 (1590 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