T•••• M••••••• R••••••

• E••••• J•••• national BD current
  since May 13, 2014 · Safford, Az
• A••••••• F•••••••• A•••••••• L•• BD affiliated
  Feb 1, 2013 to May 8, 2014 · Safford, Az
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Jan 4, 2013 · Willcox, Az
• C•••• I••••••••• S••••••• C•••• former
  Mar 4, 2010 to Oct 1, 2012 · Safford, Az

• A••••••• F•••••••• A•••••••• L•• to E••••• J••••
  left May 8, 2014, registered May 13, 2014 (5 days) · Other
• J••• M••••• S••••••••• L•• to A••••••• F•••••••• A•••••••• L••
  left Jan 4, 2013, registered Feb 1, 2013 (28 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
• 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

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