A•••• Y• T••••••

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Jan 3, 2012 · Portland, Me
• R•••••• J•••• • A••••••••• I••• national BD
  Jul 6, 2007 to Jan 20, 2012 · Portland, Me
• A• G• E•••••• • S•••• I••• unclassified
  Oct 25, 2004 to Jul 12, 2007 · Portland, Me

• R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Jan 20, 2012, registered Jan 3, 2012 (-17 days) · Affiliated broker-dealer or bank to wirehouse
• A• G• E•••••• • S•••• I••• to R•••••• J•••• • A••••••••• I•••
  left Jul 12, 2007, registered Jul 6, 2007 (-6 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

Wirehousederived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address