B•••• T• D••••••••

• P•• W••••• M••••••••• BD affiliated current
  since Aug 18, 2021 · Fort Payne, Al
• P•• M•••••• A•••••• S••••••••• I••• former
  Dec 23, 2013 to Aug 17, 2021 · Albertville, Al
• W•••• F•••• A••••••• wirehouse
  May 27, 2009 to Dec 6, 2013 · Birmingham, Al
• M•• F•••••••• S•••••••• I••• former
  Nov 7, 2006 to May 26, 2009 · Birmingham, Al

• P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••
  left Aug 17, 2021, registered Aug 18, 2021 (1 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••
  left Dec 6, 2013, registered Dec 23, 2013 (17 days) · Other
• M•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••
  left May 26, 2009, registered May 27, 2009 (1 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

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address