T•••••• R•• P••••••

• E••••• J•••• national BD current
  since Feb 27, 2019 · Lexington, Nc
• P•••••• A•••••• G••••• L•• BD affiliated
  May 8, 2013 to Feb 27, 2019 · Linwood, Nc
• L•• F•••••••• L•• BD affiliated
  Sep 4, 2009 to May 8, 2013 · Charlotte, Nc
• E••••• J•••• national BD
  Feb 13, 2007 to Sep 9, 2009 · Winston Salem, Nc

• P•••••• A•••••• G••••• L•• to E••••• J••••
  left Feb 27, 2019, registered Feb 27, 2019 (0 days) · RIA to affiliated broker-dealer or bank
• L•• F•••••••• L•• to P•••••• A•••••• G••••• L••
  left May 8, 2013, registered May 8, 2013 (0 days) · Other
• E••••• J•••• to L•• F•••••••• L••
  left Sep 9, 2009, registered Sep 4, 2009 (-5 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