N••••• G• W•••••

• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
  since Jan 22, 2020 · Gotha, Fl
• A••••••••• F•••••••• S•••••••• L•• national BD
  Nov 8, 2016 to Jan 22, 2020 · West Des Moines, Ia
• O• I••••••••• M••••••••• C• BD affiliated
  Mar 7, 2011 to Nov 15, 2016 · West Des Moines, Ia
• M•• F•••••••• S•••••••• I••• former
  Sep 16, 2010 to Mar 2, 2011 · West Des Moines, Ia

• A••••••••• F•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Jan 22, 2020, registered Jan 22, 2020 (0 days) · Affiliated broker-dealer or bank to another
• O• I••••••••• M••••••••• C• to A••••••••• F•••••••• S•••••••• L••
  left Nov 15, 2016, registered Nov 8, 2016 (-7 days) · Other
• M•• F•••••••• S•••••••• I••• to O• I••••••••• M••••••••• C•
  left Mar 2, 2011, registered Mar 7, 2011 (5 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