C••••••••• A•••• H•••

• A••••••• A••••••• S•••••••• L•• BD affiliated current
  since Dec 6, 2021 · Friant, Ca
• W•••• F•••• A••••••• wirehouse
  Jul 18, 2013 to Jan 23, 2020 · Fresno, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Oct 22, 2012 · Fresno, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Jun 30, 2004 to Jan 3, 2011 · Fresno, Ca

• W•••• F•••• A••••••• to A••••••• A••••••• S•••••••• L••
  left Jan 23, 2020, registered Dec 6, 2021 (683 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

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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address