Y••• S••

• C•••••••• G••••• M•••••• I••• BD affiliated current
  since Mar 25, 2020 · Saratoga, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Jun 14, 2019 · Palo Alto, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Aug 1, 2008 to Jan 3, 2011 · Mountain View, Ca
• H••• S••••••••• •••• I••• BD affiliated
  Mar 19, 2007 to May 12, 2008 · Cupertino, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Nov 30, 2005 to Mar 6, 2007 · Saratoga, Ca

• W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••
  left Jun 14, 2019, registered Mar 25, 2020 (285 days) · Wirehouse to affiliated broker-dealer or bank
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
• H••• S••••••••• •••• I••• to W•••• F•••• I••••••••• L••
  left May 12, 2008, registered Aug 1, 2008 (81 days) · Other
• W•••• F•••• I••••••••• L•• to H••• S••••••••• •••• I•••
  left Mar 6, 2007, registered Mar 19, 2007 (13 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

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address