B•••••• T•••••

• L•• F•••••••• L•• BD affiliated current
  since Sep 26, 2016 · Fort Mill, Sc
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 23, 2009 to Dec 3, 2012 · Charlotte, Nc
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 24, 2005 to Oct 23, 2009 · Charlotte, Nc
• E•••••• C•••••• M••••••••• L•• former
  Jun 17, 2005 to Oct 3, 2005 · Charlotte, Nc

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
  left Dec 3, 2012, registered Sep 26, 2016 (1393 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
• E•••••• C•••••• M••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 3, 2005, registered Oct 24, 2005 (21 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