P•••• H•••••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Broomfield, Co
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jan 13, 2021 to Mar 31, 2025 · Greenwood Village, Co
• C••• F•••••••• S•••••••• L••• former
  Apr 6, 2017 to Jul 14, 2017 · San Diego, Ca
• L•• F•••••••• L•• BD affiliated
  Feb 21, 2012 to Apr 20, 2017 · San Diego, Ca
• E••••• J•••• national BD
  Feb 25, 2008 to Feb 27, 2012 · San Diego, Ca

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• C••• F•••••••• S•••••••• L••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 14, 2017, registered Jan 13, 2021 (1279 days) · Other
• L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••
  left Apr 20, 2017, registered Apr 6, 2017 (-14 days) · Other
• E••••• J•••• to L•• F•••••••• L••
  left Feb 27, 2012, registered Feb 21, 2012 (-6 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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address