M••• O••• G•••••••

• L•• F•••••••• L•• BD affiliated current
  since May 18, 2022 · Cerritos, Ca
• C••• B•••••••• S•••••••• I••• former
  Jan 22, 2007 to May 18, 2022 · Torrance, Ca
• C••• F•••••••• S•••••••• L••• former
  Oct 2, 2006 to Jan 24, 2007 · Santa Ana, Ca
• E•••••••• A•••••••• L•• national BD
  Apr 14, 2003 to Jan 10, 2005 · Irvine, Ca

• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
• C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••
  left Jan 24, 2007, registered Jan 22, 2007 (-2 days) · Other
• E•••••••• A•••••••• L•• to C••• F•••••••• S•••••••• L•••
  left Jan 10, 2005, registered Oct 2, 2006 (630 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