A•••••••• A••••••••• K•••••••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Sep 5, 2023 · Monterey, Ca
• W•••• F•••• A••••••• wirehouse
  Jun 29, 2012 to Sep 28, 2023 · Carmel, Ca
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Dec 1, 2006 to Jul 2, 2012 · Monterey, Ca
• T• A••••••••• I••• former
  Aug 4, 2005 to Feb 2, 2006 · Beverly Hills, Ca

• W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
  left Sep 28, 2023, registered Sep 5, 2023 (-23 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
  left Jul 2, 2012, registered Jun 29, 2012 (-3 days) · Wirehouse to wirehouse
• T• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Feb 2, 2006, registered Dec 1, 2006 (302 days) · Other

• ••• Locked
  Sep 28, 2023 · Advisor changed firm · fact

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

National broker-dealer RIAderived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address