R••••• A••••• W•••••••

• L•• F•••••••• L•• BD affiliated current
  since Dec 19, 2018 · Charleston, Sc
• W•••• F•••• A••••••• wirehouse
  Jul 6, 2009 to Jan 14, 2019 · Charleston, Sc
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Jun 8, 2009 · Charleston, Sc
• A• G• E•••••• • S•••• I••• unclassified
  May 21, 2007 to Jan 1, 2008 · St. Louis, Mo

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Jan 14, 2019, registered Dec 19, 2018 (-26 days) · Wirehouse to independent RIA · moved with a team
• W•••• F•••• A••••••• to W•••• F•••• A•••••••
  left Jun 8, 2009, registered Jul 6, 2009 (28 days) · channel change inside one enterprise, not a move
• 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

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