B•••••• G• B••••

• P•••••••• S••••••••• I••• BD affiliated current
  since Jun 15, 2009 · West Des Moines, Ia
• U•• F•••••••• S••••••• I••• wirehouse
  Nov 2, 2007 to May 13, 2009 · West Des Moines, Ia
• A• G• E•••••• • S•••• I••• unclassified
  Sep 3, 2007 to Nov 5, 2007 · West Des Moines, Ia

• U•• F•••••••• S••••••• I••• to P•••••••• S••••••••• I•••
  left May 13, 2009, registered Jun 15, 2009 (33 days) · Other
• A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••
  left Nov 5, 2007, registered Nov 2, 2007 (-3 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