RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Nov 3, 2023 · Pike Road, Al
• F•• S••••••••• C••••••••• former
  Dec 10, 2009 to Nov 3, 2023 · Montgomery, Al
• S••••• A••• A•••• M••••••••• I••• former
  Jul 30, 2007 to Dec 10, 2009 · Birmingham, Al
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Jul 31, 2007 · Montgomery, Al
• M••••• S•••••• D• I••• unclassified
  Dec 18, 2006 to Apr 2, 2007 · Montgomery, Al

• F•• S••••••••• C••••••••• to O•••• W•••••• I•••
  left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
• S••••• A••• A•••• M••••••••• I••• to F•• S••••••••• C•••••••••
  left Dec 10, 2009, registered Dec 10, 2009 (0 days) · Other
• M••••• S•••••• • C•• L•• to S••••• A••• A•••• M••••••••• I•••
  left Jul 31, 2007, registered Jul 30, 2007 (-1 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (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

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