D••••• B•••••••••

• L•• F•••••••• L•• BD affiliated current
  since Jan 17, 2022 · Lebanon, Oh
• M••••• S•••••• wirehouse
  Sep 30, 2019 to Jan 5, 2022 · Raleigh, Nc
• L•• F•••••••• L•• BD affiliated
  Jan 7, 2014 to Jul 18, 2018 · Lebanon, Oh
• E•• F•••••••• A••••••• independent RIA
  Mar 25, 2010 to Feb 22, 2011 · Cincinnati, Oh
• E•••••••• A•••••••• L•• national BD
  Jun 16, 2006 to Mar 3, 2010 · Cincinnati, Oh

• M••••• S•••••• to L•• F•••••••• L••
  left Jan 5, 2022, registered Jan 17, 2022 (12 days) · Wirehouse to affiliated broker-dealer or bank
• L•• F•••••••• L•• to M••••• S••••••
  left Jul 18, 2018, registered Sep 30, 2019 (439 days) · RIA to wirehouse
• E•• F•••••••• A••••••• to L•• F•••••••• L••
  left Feb 22, 2011, registered Jan 7, 2014 (1050 days) · Other
• E•••••••• A•••••••• L•• to E•• F•••••••• A•••••••
  left Mar 3, 2010, registered Mar 25, 2010 (22 days) · Other

• ••• Locked
  Jan 5, 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

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