L•••• L••••••• V•••••

• L•• E••••••••• L•• BD affiliated current
  since Nov 14, 2024 · Las Vegas, Nv
• P•••• S••••••••• L•• no RAUM
  Sep 17, 2021 to Nov 14, 2024 · Las Vegas, Nv
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Dec 4, 2013 to Sep 14, 2021 · Reno, Nv
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Dec 17, 2013 · Salt Lake City, Ut
• W•••• F•••• I••••••••• L•• unclassified
  Sep 15, 2008 to Jan 3, 2011 · Clinton, Ut

• P•••• S••••••••• L•• to L•• E••••••••• L••
  left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
• V•••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••
  left Sep 14, 2021, registered Sep 17, 2021 (3 days) · Affiliated broker-dealer or bank to another
• W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••
  left Dec 17, 2013, registered Dec 4, 2013 (-13 days) · Other
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (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

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