R••••• A•••••• S•••••••

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since Mar 25, 2017 · Dayton, Oh
• M•• F•••••••• S•••••••• I••• former
  Oct 30, 2006 to Mar 25, 2017 · Cincinnati, Oh
• H••••••••• F•••••••• A••••••• BD affiliated
  Jun 22, 2005 to Jun 13, 2006 · Ft. Mitchell, Ky
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jan 27, 2004 to Mar 2, 2005 · Cincinnati, Oh

• M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
  left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
• H••••••••• F•••••••• A••••••• to M•• F•••••••• S•••••••• I•••
  left Jun 13, 2006, registered Oct 30, 2006 (139 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••••••••• F•••••••• A•••••••
  left Mar 2, 2005, registered Jun 22, 2005 (112 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