T•••••• G••••• E•••••

• R•• C•••••• M••••••• L•• national BD current
  since Aug 27, 2018 · Rochester, Mn
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jan 27, 2015 to Aug 2, 2018 · Rochester, Mn
• L•• F•••••••• L•• BD affiliated
  Feb 15, 2013 to Jan 27, 2015 · Austin, Mn
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Feb 14, 2013 · Minneapolis, Mn
• W•••• F•••• I••••••••• L•• unclassified
  Jul 31, 2006 to Jan 3, 2011 · Mankato, Mn

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•• C•••••• M••••••• L••
  left Aug 2, 2018, registered Aug 27, 2018 (25 days) · Affiliated broker-dealer or bank to another
• L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jan 27, 2015, registered Jan 27, 2015 (0 days) · Other · moved with a team
• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Feb 14, 2013, registered Feb 15, 2013 (1 days) · Other
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (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

National broker-dealer RIAderived

Years in industry

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address