E•••• T• C••••••••

• N•••••• A••••••• BD affiliated current
  since Aug 20, 2024 · New Orleans, La
• W•••• F•••• A••••••• wirehouse
  Dec 7, 2018 to Sep 3, 2024 · Tampa, Fl
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jan 17, 2014 to Dec 11, 2018 · Tampa, Fl
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 3, 2006 to Jan 21, 2014 · Tampa, Fl
• M••••• S•••••• D• I••• unclassified
  Jul 1, 2004 to Apr 3, 2006 · Venice, Fl

• W•••• F•••• A••••••• to N•••••• A•••••••
  left Sep 3, 2024, registered Aug 20, 2024 (-14 days) · Wirehouse to affiliated broker-dealer or bank
• A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
  left Dec 11, 2018, registered Dec 7, 2018 (-4 days) · Affiliated broker-dealer or bank to wirehouse
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
  left Jan 21, 2014, registered Jan 17, 2014 (-4 days) · Wirehouse to affiliated broker-dealer or bank
• M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Apr 3, 2006, registered Apr 3, 2006 (0 days) · Other

• ••• Locked
  Sep 3, 2024 · 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

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