A••• D•••• P•••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Sep 3, 2019 · Bethesda, Md
• U•• F•••••••• S••••••• I••• wirehouse
  Apr 23, 2008 to Sep 12, 2019 · Bethesda, Md
• M••••• S•••••• • C•• L•• unclassified
  Oct 19, 2007 to Apr 25, 2008 · Bethesda, Md
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Aug 16, 2005 to Oct 2, 2007 · Washington, Dc

• U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••
  left Sep 12, 2019, registered Sep 3, 2019 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••
  left Apr 25, 2008, registered Apr 23, 2008 (-2 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••
  left Oct 2, 2007, registered Oct 19, 2007 (17 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

National broker-dealer RIAderived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address