M••••• E••••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Feb 13, 2013 · Birmingham, Al
• M••••• K••••• • C••••••• L•• former
  Jul 5, 2006 to Feb 13, 2013 · Birmingham, Al
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jan 6, 2005 to Jul 12, 2006 · Birmingham, Al

• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to M••••• K••••• • C••••••• L••
  left Jul 12, 2006, registered Jul 5, 2006 (-7 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

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address