RIA Intelligence

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Aug 19, 2020 · Wilkes Barre, Pa
• P•• W••••• M••••••••• BD affiliated
  Sep 27, 2016 to Dec 6, 2018 · Scranton, Pa
• O•••• I••••••••• I••• BD affiliated
  Aug 30, 2011 to Mar 13, 2015 · Montursville, Pa
• I••••• F•••••••• C••••••••• former
  Feb 11, 2009 to Aug 17, 2011 · Dunmore, Pa

• P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Dec 6, 2018, registered Aug 19, 2020 (622 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
• O•••• I••••••••• I••• to P•• W••••• M•••••••••
  left Mar 13, 2015, registered Sep 27, 2016 (564 days) · Other
• I••••• F•••••••• C••••••••• to O•••• I••••••••• I•••
  left Aug 17, 2011, registered Aug 30, 2011 (13 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

Wirehousederived

Years in industry

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address