L••••• A•• K•••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Oct 12, 2023 · Walnut Creek, Ca
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Nov 26, 2018 to Oct 16, 2023 · Clayton, Mo
• R•• C•••••• M••••••• L•• national BD
  Jun 26, 2018 to Nov 27, 2018 · St. Louis, Mo
• J••• M••••• S••••••••• L•• wirehouse
  Oct 12, 2015 to Jul 5, 2018 · Clayton, Mo

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••
  left Oct 16, 2023, registered Oct 12, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank
• R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Nov 27, 2018, registered Nov 26, 2018 (-1 days) · Affiliated broker-dealer or bank to wirehouse
• J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••
  left Jul 5, 2018, registered Jun 26, 2018 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

• ••• Locked
  Oct 16, 2023 · Advisor changed firm · fact

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

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