P•••••• S•••••••• W••••••

• P•• W••••• M••••••••• BD affiliated current
  since Mar 8, 2023 · Coral Gables, Fl
• T• A••••••••• I••••••••• M••••••••• L•• former
  Nov 4, 2010 to Dec 31, 2020 · Coral Gables, Fl
• T• A••••••••• I••• former
  Oct 7, 2010 to Jan 11, 2021 · Coral Gables, Fl
• S•••••••• A••••••• L•• national BD
  Feb 19, 2008 to Feb 17, 2009 · Coral Gables, Fl
• M••••• S•••••• D• I••• unclassified
  Oct 11, 2005 to Jun 6, 2006 · Miami, Fl

• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Jan 11, 2021, registered Nov 4, 2010 (-3721 days) · channel change inside one enterprise, not a move · moved with a team
• T• A••••••••• I••••••••• M••••••••• L•• to P•• W••••• M•••••••••
  left Dec 31, 2020, registered Mar 8, 2023 (797 days) · RIA to affiliated broker-dealer or bank
• S•••••••• A••••••• L•• to T• A••••••••• I•••
  left Feb 17, 2009, registered Oct 7, 2010 (597 days) · Affiliated broker-dealer or bank to a newly registered adviser
• M••••• S•••••• D• I••• to S•••••••• A••••••• L••
  left Jun 6, 2006, registered Feb 19, 2008 (623 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