H•••••••• C••• W•

• J••• M••••• S••••••••• L•• wirehouse current
  since Oct 1, 2012 · City Of Industry, Ca
• C•••• I••••••••• S••••••• C•••• former
  Feb 17, 2011 to Oct 1, 2012 · West Covina, Ca
• H••• S••••••••• •••• I••• BD affiliated
  Apr 7, 2010 to Jan 20, 2011 · Los Angeles, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Dec 12, 2007 to Jan 25, 2010 · Diamond Bar, Ca

• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••
  left Jan 20, 2011, registered Feb 17, 2011 (28 days) · Other
• W•••• F•••• I••••••••• L•• to H••• S••••••••• •••• I•••
  left Jan 25, 2010, registered Apr 7, 2010 (72 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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address