S•••••• N••••••

• R•• C•••••• M••••••• L•• national BD current
  since Nov 10, 2025 · Wolverton, Mn
• M••••• S•••••• wirehouse
  Mar 19, 2018 to Dec 3, 2025 · Fargo, Nd
• R•• C•••••• M••••••• L•• national BD
  Jan 12, 2015 to Mar 14, 2018 · Fargo, Nd
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Oct 15, 2012 to Apr 5, 2013 · Fargo, Nd
• R•• C•••••• M••••••• L•• national BD
  Mar 19, 2012 to Aug 17, 2012 · St. Paul, Mn

• M••••• S•••••• to R•• C•••••• M••••••• L••
  left Dec 3, 2025, registered Nov 10, 2025 (-23 days) · Wirehouse to affiliated broker-dealer or bank
• R•• C•••••• M••••••• L•• to M••••• S••••••
  left Mar 14, 2018, registered Mar 19, 2018 (5 days) · Affiliated broker-dealer or bank to wirehouse
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•• C•••••• M••••••• L••
  left Apr 5, 2013, registered Jan 12, 2015 (647 days) · Other
• R•• C•••••• M••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Aug 17, 2012, registered Oct 15, 2012 (59 days) · Other

• ••• Locked
  Dec 3, 2025 · Advisor changed firm · fact

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

14derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address