H••• S•• S•••

• L•• F•••••••• L•• BD affiliated current
  since Jun 29, 2018 · Vienna, Va
• W•••• F•••• A••••••• wirehouse
  Jan 31, 2013 to Jul 3, 2018 · Mclean, Va
• H••• S••••••••• •••• I••• BD affiliated
  Feb 12, 2009 to Feb 5, 2013 · Arlington, Va
• C•••••••• G••••• M•••••• I••• BD affiliated
  Oct 30, 2007 to Jan 15, 2009 · Alexandria, Va
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Nov 1, 2005 to Jul 6, 2007 · Baltimore, Md

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Jul 3, 2018, registered Jun 29, 2018 (-4 days) · Wirehouse to independent RIA
• H••• S••••••••• •••• I••• to W•••• F•••• A•••••••
  left Feb 5, 2013, registered Jan 31, 2013 (-5 days) · Other
• C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••
  left Jan 15, 2009, registered Feb 12, 2009 (28 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
  left Jul 6, 2007, registered Oct 30, 2007 (116 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

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address