O•••• S••••••

• V•••• F•••••••• A•••••••• I••• BD affiliated current
  since Oct 3, 2014 · Houston, Tx
• N••• F•••••••• G••••• I••• former
  Jan 11, 2012 to Sep 26, 2014 · Houston, Tx
• E••••• J•••• national BD
  Feb 8, 2010 to Jun 24, 2010 · Houston, Tx
• I•••••• A•• P•••••• A•••• M••••••••• I••• unclassified
  May 10, 2006 to Aug 25, 2009 · Houston, Tx
• U•• F•••••••• S••••••• I••• wirehouse
  Jan 14, 2005 to Apr 27, 2006 · Houston, Tx

• N••• F•••••••• G••••• I••• to V•••• F•••••••• A•••••••• I•••
  left Sep 26, 2014, registered Oct 3, 2014 (7 days) · Other
• E••••• J•••• to N••• F•••••••• G••••• I•••
  left Jun 24, 2010, registered Jan 11, 2012 (566 days) · Other
• I•••••• A•• P•••••• A•••• M••••••••• I••• to E••••• J••••
  left Aug 25, 2009, registered Feb 8, 2010 (167 days) · Other
• U•• F•••••••• S••••••• I••• to I•••••• A•• P•••••• A•••• M••••••••• I•••
  left Apr 27, 2006, registered May 10, 2006 (13 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