J••••• R••••• C••••

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Dec 11, 2020 · Winston Salem, Nc
• B••• S••••••••• L•• former
  Jan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
• B••• I••••••••• S•••••••• I••• former
  Oct 1, 2012 to Jan 2, 2018 · Charlotte, Nc
• W•••• F•••• A••••••• wirehouse
  Aug 5, 2008 to Aug 17, 2012 · Winston Salem, Nc

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Dec 11, 2020 (-68 days) · corporate re-registration, not a move
• B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••
  left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••
  left Aug 17, 2012, registered Oct 1, 2012 (45 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

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