R••••• C•••••

• O•••• W•••••• I••• BD affiliated current
  since May 29, 2020 · Brownsville, Tx
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Jun 2, 2020 · Brownsville, Tx
• W•••• F•••• I••••••••• L•• unclassified
  Jul 12, 2010 to Jan 3, 2011 · Brownsville, Tx
• C•••••• O•• F•••••••• A••••••• L•• unclassified
  Feb 24, 2010 to Jul 13, 2010
• E•••••••• A•••••••• L•• national BD
  May 31, 2007 to Aug 13, 2008 · Brownsville, Tx

• W•••• F•••• A••••••• to O•••• W•••••• I•••
  left Jun 2, 2020, registered May 29, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
• C•••••• O•• F•••••••• A••••••• L•• to W•••• F•••• I••••••••• L••
  left Jul 13, 2010, registered Jul 12, 2010 (-1 days) · Other
• E•••••••• A•••••••• L•• to C•••••• O•• F•••••••• A••••••• L••
  left Aug 13, 2008, registered Feb 24, 2010 (560 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