I•••• S••••

• P•••••••• A••••••• national BD current
  since Jun 14, 2018 · Austin, Tx
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Oct 4, 2013 · Edinburg, Tx
• C•••• I••••••••• S••••••• C•••• former
  Jul 16, 2010 to Oct 1, 2012 · Mission, Tx
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Jul 1, 2010 · Mcallen, Tx
• A• G• E•••••• • S•••• I••• unclassified
  Apr 27, 2007 to Jan 1, 2008 · Mcallen, Tx

• J••• M••••• S••••••••• L•• to P•••••••• A•••••••
  left Oct 4, 2013, registered Jun 14, 2018 (1714 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•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
  left Jul 1, 2010, registered Jul 16, 2010 (15 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (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

National broker-dealer RIAderived

Years in industry

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address