C••• E••••• M••••••••

• N••••••••• I••••••••• A•••••••• L•• BD affiliated current
  since Feb 16, 2017 · Columbus, Oh
• V••• F•••••••• A•••••••• I••• BD affiliated
  Jun 18, 2010 to Feb 2, 2017 · Windsor, Ct
• T• A••••••••• I••••••••• M••••••••• L•• former
  Jul 17, 2008 to Mar 3, 2010 · Ft Worth, Tx
• T• A••••••••• I••• former
  Jul 17, 2008 to Mar 3, 2010 · Fort Worth, Tx
• T• A••••••••• I••••••••• M••••••••• L•• former
  Sep 1, 2005 to Mar 3, 2006 · Bellevue, Ne

• V••• F•••••••• A•••••••• I••• to N••••••••• I••••••••• A•••••••• L••
  left Feb 2, 2017, registered Feb 16, 2017 (14 days) · Other
• T• A••••••••• I••••••••• M••••••••• L•• to V••• F•••••••• A•••••••• I•••
  left Mar 3, 2010, registered Jun 18, 2010 (107 days) · Other
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Mar 3, 2010, registered Jul 17, 2008 (-594 days) · channel change inside one enterprise, not a move
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Mar 3, 2006, registered Jul 17, 2008 (867 days) · channel change inside one enterprise, not a move

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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address