M••••••• M••• M•••••••••

• L•• F•••••••• L•• BD affiliated current
  since Feb 14, 2018 · Sioux Falls, Sd
• I••••• F•••••••• C••••••••• former
  Nov 18, 2009 to Feb 14, 2018 · Rapid City, Sd
• C••••• A•••••• N••••••• L•• former
  Jul 10, 2008 to Nov 17, 2009 · Rapid City, Sd
• A• G• E•••••• • S•••• I••• unclassified
  Dec 12, 2006 to Aug 21, 2007 · Rapid City, Sd

• I••••• F•••••••• C••••••••• to L•• F•••••••• L••
  left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
• C••••• A•••••• N••••••• L•• to I••••• F•••••••• C•••••••••
  left Nov 17, 2009, registered Nov 18, 2009 (1 days) · Other
• A• G• E•••••• • S•••• I••• to C••••• A•••••• N••••••• L••
  left Aug 21, 2007, registered Jul 10, 2008 (324 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

Broker-dealer affiliated wealth managerderived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address