K••••••••• N• F•

• K••••• P•••••• W••••• S•••••••• L•• BD affiliated current
  since Feb 3, 2021 · Costa Mesa, Ca
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Feb 18, 2021 · Whittier, Ca
• C•••• I••••••••• S••••••• C•••• former
  May 2, 2009 to Oct 1, 2012 · Whittier, Ca
• W••• I••••••••• I••• unclassified
  Nov 2, 2007 to May 2, 2009 · Whittier, Ca
• A••••••••• F•••••••• S•••••••• L•• national BD
  May 9, 2007 to Aug 27, 2007 · Corona, Ca

• J••• M••••• S••••••••• L•• to K••••• P•••••• W••••• S•••••••• L••
  left Feb 18, 2021, registered Feb 3, 2021 (-15 days) · Wirehouse to affiliated broker-dealer or bank
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
  left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to W••• I••••••••• I•••
  left Aug 27, 2007, registered Nov 2, 2007 (67 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