S•••• A••••• T••••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Sep 13, 2019 · Raleigh, Nc
• W•••• F•••• A••••••• wirehouse
  Mar 3, 2011 to Sep 18, 2019 · Raleigh, Nc
• P•••••••• S••••••••• I••• BD affiliated
  Jan 3, 2008 to Mar 7, 2011 · Raleigh, Nc
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Jul 14, 2004 to Jan 3, 2008 · Durham, Nc

• W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
  left Sep 18, 2019, registered Sep 13, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank
• P•••••••• S••••••••• I••• to W•••• F•••• A•••••••
  left Mar 7, 2011, registered Mar 3, 2011 (-4 days) · Other
• V•••• F•••••••• A•••••••• I••• to P•••••••• S••••••••• I•••
  left Jan 3, 2008, registered Jan 3, 2008 (0 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

National broker-dealer RIAderived

Years in industry

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address