P•••• T•••••

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since May 4, 2011 · Dallas, Tx
• H•••••• T••••••• • K•••• L•• independent RIA
  Sep 25, 2009 to Mar 29, 2011 · Dallas, Tx
• E•••••••• A•••••••• L•• national BD
  Jul 2, 2007 to Sep 22, 2009 · Dallas, Tx

• H•••••• T••••••• • K•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Mar 29, 2011, registered May 4, 2011 (36 days) · Other
• E•••••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••
  left Sep 22, 2009, registered Sep 25, 2009 (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

Wirehousederived

Years in industry

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address