J••••• C•••••• W•••••

• L•• F•••••••• L•• BD affiliated current
  since Jun 12, 2017 · San Jose, Ca
• T••••••••• F•••••••• A•••••••• L•• BD affiliated
  Jan 6, 2012 to Jun 13, 2017 · San Jose, Ca
• I••••••••• A••••••• I••••••••• I••• unclassified
  Jul 13, 2011 to Jan 6, 2012 · San Jose, Ca
• I••••••••• A••••••• I••••••••• I••• unclassified
  Jul 9, 2008 to Jul 6, 2011 · San Jose, Ca

• T••••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••
  left Jun 13, 2017, registered Jun 12, 2017 (-1 days) · Other
• I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••
  left Jan 6, 2012, registered Jan 6, 2012 (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