S•••••• R•• S• J•••

• N•••••• A••••••• BD affiliated current
  since Aug 17, 2023 · New Orleans, La
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 23, 2009 to Aug 21, 2023 · Greenville, Sc
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Jan 8, 2009 to Oct 23, 2009 · Greenville, Sc
• W•••• F•••• A••••••• wirehouse
  Jan 17, 2006 to Dec 23, 2008 · Greenville, Sc
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jun 29, 2005 to Jan 11, 2006 · Greenville, Sc

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•••••• A•••••••
  left Aug 21, 2023, registered Aug 17, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• 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
• W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Dec 23, 2008, registered Jan 8, 2009 (16 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
  left Jan 11, 2006, registered Jan 17, 2006 (6 days) · Affiliated broker-dealer or bank to wirehouse

• ••• Locked
  Aug 21, 2023 · 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

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