N••••••• R••• B•••••••

• L•• F•••••••• L•• BD affiliated current
  since Jun 20, 2018 · Savannah, Ga
• T• A••••••••• I••• former
  Feb 28, 2018 to Jun 8, 2018 · Savannah, Ga
• T• A••••••••• I••••••••• M••••••••• L•• former
  Feb 26, 2018 to Jun 8, 2018 · Omaha, Ne
• S•••••••• I••••••••• M••••••••• former
  Sep 15, 2016 to Feb 26, 2018 · Saint Louis, Mo
• W•••• F•••• A••••••• wirehouse
  Jul 3, 2013 to Oct 24, 2014 · Savannah, Ga

• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Jun 8, 2018, registered Feb 28, 2018 (-100 days) · corporate re-registration, not a move
• T• A••••••••• I••• to L•• F•••••••• L••
  left Jun 8, 2018, registered Jun 20, 2018 (12 days) · Other
• S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
  left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••
  left Oct 24, 2014, registered Sep 15, 2016 (692 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

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address