B•••••• G••• K••••

• P•••••• A•••••• G••••• L•• BD affiliated current
  since Nov 10, 2016 · Morristown, Nj
• H•• L•• unclassified
  Jul 27, 2015 to Dec 23, 2016 · Columbia, Tn
• N••• F•••••••• G••••• I••• former
  Nov 2, 2010 to Apr 5, 2011 · Houston, Tx
• E••••• J•••• national BD
  Feb 9, 2007 to Nov 2, 2010 · St. Louis, Mo

• H•• L•• to P•••••• A•••••• G••••• L••
  left Dec 23, 2016, registered Nov 10, 2016 (-43 days) · Other · moved with a team
• N••• F•••••••• G••••• I••• to H•• L••
  left Apr 5, 2011, registered Jul 27, 2015 (1574 days) · Other
• E••••• J•••• to N••• F•••••••• G••••• I•••
  left Nov 2, 2010, registered Nov 2, 2010 (0 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