RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Mar 22, 2018 · Gonzales, La
• C•••••• O•• A•••••••• L•• former
  Jan 28, 2015 to Mar 27, 2018 · Seattle, Wa
• C•••••• O•• F•••••••• A••••••• L•• unclassified
  Nov 8, 2013 to Jan 28, 2015 · Melville, Ny
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Nov 7, 2013 · Gonzales, La
• C•••• I••••••••• S••••••• C•••• former
  Aug 23, 2010 to Oct 1, 2012 · Gonzales, La
• E••••• J•••• national BD
  Jul 25, 2008 to Feb 4, 2009 · St Louis, Mo

• C•••••• O•• A•••••••• L•• to L•• F•••••••• L••
  left Mar 27, 2018, registered Mar 22, 2018 (-5 days) · Other · moved with a team
• C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••
  left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
• J••• M••••• S••••••••• L•• to C•••••• O•• F•••••••• A••••••• L••
  left Nov 7, 2013, registered Nov 8, 2013 (1 days) · Other
• 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
• E••••• J•••• to C•••• I••••••••• S••••••• C••••
  left Feb 4, 2009, registered Aug 23, 2010 (565 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