K••• E••••• B•••

• P•••••••• A••••••• national BD current
  since Jun 7, 2017 · Springfield, Va
• W•••••• • R••• former
  Jul 24, 2014 to Oct 24, 2016 · Topeka, Ks
• C•••••••• F•••••••• G•••• A••••••• former
  Jun 12, 2012 to Aug 20, 2012 · Topeka, Ks
• A•••••• A••••••• S••••••• former
  Nov 12, 2009 to Oct 13, 2010 · Dallas, Tx
• W•••••• • R••• former
  Nov 10, 2006 to Sep 18, 2009 · Topeka, Ks

• W•••••• • R••• to P•••••••• A•••••••
  left Oct 24, 2016, registered Jun 7, 2017 (226 days) · Other
• C•••••••• F•••••••• G•••• A••••••• to W•••••• • R•••
  left Aug 20, 2012, registered Jul 24, 2014 (703 days) · Other
• A•••••• A••••••• S••••••• to C•••••••• F•••••••• G•••• A•••••••
  left Oct 13, 2010, registered Jun 12, 2012 (608 days) · Other
• W•••••• • R••• to A•••••• A••••••• S•••••••
  left Sep 18, 2009, registered Nov 12, 2009 (55 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

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