W•••••• M•••••••• B•••••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Jul 31, 2020 · Easton, Me
• K•• I••••••••• S••••••• L•• BD affiliated
  Oct 15, 2009 to Aug 5, 2020 · Portland, Me
• A••••••••• F•••••••• S•••••••• L•• national BD
  Aug 15, 2007 to Oct 6, 2009 · Portland, Me

• K•• I••••••••• S••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Aug 5, 2020, registered Jul 31, 2020 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
• A••••••••• F•••••••• S•••••••• L•• to K•• I••••••••• S••••••• L••
  left Oct 6, 2009, registered Oct 15, 2009 (9 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

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