R••••• C•••••• F••••

• S•••••• W••••• P•••••••• L•• BD affiliated current
  since Feb 13, 2020 · Westlake, Oh
• K•• I••••••••• S••••••• L•• BD affiliated
  Jul 8, 2008 to Feb 19, 2020 · Saline, Mi
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Jul 2, 2008 · Toledo, Oh
• M••••• S•••••• D• I••• unclassified
  Sep 13, 2004 to Apr 2, 2007 · Toledo, Oh

• K•• I••••••••• S••••••• L•• to S•••••• W••••• P•••••••• L••
  left Feb 19, 2020, registered Feb 13, 2020 (-6 days) · Affiliated broker-dealer or bank to independent RIA
• M••••• S•••••• • C•• L•• to K•• I••••••••• S••••••• L••
  left Jul 2, 2008, registered Jul 8, 2008 (6 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address