RIA Intelligence

• S••••••• S•••• A•••••••• L•• state registered current
  since Mar 27, 2019 · Superior Township, Mi
• C•••••• S••••• • C••• I••• national BD
  Sep 8, 2015 to Dec 22, 2016 · Richfield, Oh
• P•••••••• A••••••• national BD
  Feb 23, 2012 to Jun 19, 2012 · Lakewood, Oh
• M•• I•••••••• S•••••••• L•• BD affiliated
  Sep 27, 2007 to Mar 24, 2010 · Cleveland, Oh

• C•••••• S••••• • C••• I••• to S••••••• S•••• A•••••••• L••
  left Dec 22, 2016, registered Mar 27, 2019 (825 days) · Affiliated broker-dealer or bank to a state-registered adviser
• P•••••••• A••••••• to C•••••• S••••• • C••• I•••
  left Jun 19, 2012, registered Sep 8, 2015 (1176 days) · Affiliated broker-dealer or bank to another
• M•• I•••••••• S•••••••• L•• to P•••••••• A•••••••
  left Mar 24, 2010, registered Feb 23, 2012 (701 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

STATE REGISTEREDderived

Years in industry

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address