M••• D•••••••••

• I••••••••• F•••••••• G••••• L•• BD affiliated current
  since Nov 16, 2012 · Bonners Ferry, Id
• L•• F•••••••• L•• BD affiliated
  Jul 7, 2009 to Nov 27, 2012 · Laguna Hills, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Jul 6, 2009 · Irvine, Ca
• A• G• E•••••• • S•••• I••• unclassified
  Nov 24, 2005 to Jan 1, 2008 · Laguna Woods, Ca

• L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••
  left Nov 27, 2012, registered Nov 16, 2012 (-11 days) · Other
• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Jul 6, 2009, registered Jul 7, 2009 (1 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

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