J•••• J• W•••••••

• C••••••••• F•••••••• N•••••• national BD current
  since Jan 24, 2023 · Huntersville, Nc
• L•• F•••••••• L•• BD affiliated
  Aug 25, 2017 to Dec 15, 2022 · Fort Mill, Sc
• F••••• I••••••••• independent RIA
  Mar 17, 2015 to May 3, 2017 · Charlotte, Nc
• S•••••••• A••••••• L•• national BD
  Sep 27, 2012 to Mar 10, 2015 · Charlotte, Nc
• W•••• F•••• A••••••• wirehouse
  Feb 3, 2009 to Sep 4, 2012 · Charlotte, Nc

• L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
  left Dec 15, 2022, registered Jan 24, 2023 (40 days) · RIA to affiliated broker-dealer or bank
• F••••• I••••••••• to L•• F•••••••• L••
  left May 3, 2017, registered Aug 25, 2017 (114 days) · Other
• S•••••••• A••••••• L•• to F••••• I•••••••••
  left Mar 10, 2015, registered Mar 17, 2015 (7 days) · Other
• W•••• F•••• A••••••• to S•••••••• A••••••• L••
  left Sep 4, 2012, registered Sep 27, 2012 (23 days) · Wirehouse to affiliated broker-dealer or bank

• ••• Locked
  Dec 15, 2022 · Advisor changed firm · fact

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