N••••••• G• P•••••

• P•• W••••• M••••••••• BD affiliated current
  since Nov 13, 2009 · Cold Spring, Ky
• N•••••• I••••••••• I••• unclassified
  Nov 12, 2008 to Nov 13, 2009 · Alexandria, Ky
• M•• F•••••••• S•••••••• I••• former
  Jan 9, 2006 to Sep 22, 2008 · Cincinnati, Oh
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jan 27, 2004 to Oct 3, 2005 · Cincinnati, Oh

• N•••••• I••••••••• I••• to P•• W••••• M•••••••••
  left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
• M•• F•••••••• S•••••••• I••• to N•••••• I••••••••• I•••
  left Sep 22, 2008, registered Nov 12, 2008 (51 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••
  left Oct 3, 2005, registered Jan 9, 2006 (98 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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address