B••• R•••• W•••••••

• U••• I••••••••• S••••••• C•••••• no RAUM current
  since Jan 8, 2018 · Tampa, Fl
• U••• F•••••••• P••••••• S••••••• former
  Apr 7, 2014 to Jan 8, 2018 · Addison, Tx
• A••••••••• F•••••••• S•••••••• L•• national BD
  Sep 16, 2011 to Mar 25, 2014 · Mt Pleasant, Sc
• M••••• S•••••• wirehouse
  Oct 25, 2010 to Oct 13, 2011 · Plano, Tx
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Sep 21, 2010 · Plano, Tx
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jun 13, 2005 to Jun 1, 2009 · Plano, Tx

• U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
  left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••
  left Mar 25, 2014, registered Apr 7, 2014 (13 days) · Other
• M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 13, 2011, registered Sep 16, 2011 (-27 days) · Wirehouse to affiliated broker-dealer or bank
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

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

No RAUM reportedderived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address