J•••• W••••••••• S•••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since May 8, 2015 · Traverse City, Mi
• C•••••• S••••• • C••• I••• national BD
  Feb 6, 2008 to May 19, 2015 · Naperville, Il
• E•••••• C•••••• M••••••••• L•• former
  Feb 16, 2007 to Jan 3, 2008 · Chicago, Il
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jan 28, 2005 to Jan 8, 2007 · Phoenix, Az

• C•••••• S••••• • C••• I••• to R•••••• J•••• • A••••••••• I•••
  left May 19, 2015, registered May 8, 2015 (-11 days) · Affiliated broker-dealer or bank to another
• E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
  left Jan 3, 2008, registered Feb 6, 2008 (34 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••
  left Jan 8, 2007, registered Feb 16, 2007 (39 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