S••••• K••• P••• L••

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since Jul 14, 2023 · Alhambra, Ca
• H••• S••••••••• •••• I••• BD affiliated
  Mar 2, 2010 to Jun 1, 2015 · Los Angeles, Ca
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jun 13, 2007 to Feb 19, 2010 · Los Angeles, Ca
• A••••••••• F•••••••• S•••••••• L•• national BD
  Apr 26, 2004 to Jun 17, 2005 · Irvine, Ca

• H••• S••••••••• •••• I••• to M•• I•••••••• S•••••••• L••
  left Jun 1, 2015, registered Jul 14, 2023 (2965 days) · Other · moved with a team
• C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••
  left Feb 19, 2010, registered Mar 2, 2010 (11 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••
  left Jun 17, 2005, registered Jun 13, 2007 (726 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