R••• J• W•••••••

• I••••••••• F•••••••• G••••• L•• BD affiliated current
  since Jun 3, 2021 · Phoenix, Az
• A••••••••• F•••••••• S•••••••• L•• national BD
  Dec 24, 2014 to Sep 29, 2015 · Roseville, Ca
• C••••• A•••••• N••••••• L•• former
  Jul 6, 2012 to Jan 2, 2015 · Roseville, Ca
• W••••••• F•••••••• S•••••••• I••• former
  May 19, 2011 to Jul 10, 2012 · Roseville, Ca
• I••••• F•••••••• C••••••••• former
  Feb 15, 2008 to May 9, 2011 · Fresno, Ca

• A••••••••• F•••••••• S•••••••• L•• to I••••••••• F•••••••• G••••• L••
  left Sep 29, 2015, registered Jun 3, 2021 (2074 days) · Affiliated broker-dealer or bank to another
• C••••• A•••••• N••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Jan 2, 2015, registered Dec 24, 2014 (-9 days) · Other
• W••••••• F•••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••
  left Jul 10, 2012, registered Jul 6, 2012 (-4 days) · Other
• I••••• F•••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••
  left May 9, 2011, registered May 19, 2011 (10 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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address