D••••• L• B••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Concord, Nc
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Mar 24, 2022 to Mar 31, 2025 · Covington, Ky
• V••••••• A•••••••• I••• BD affiliated
  Dec 16, 2020 to Mar 1, 2022 · Charlotte, Nc
• A••••• A•• P••••••• S••••••• BD affiliated
  Feb 23, 2016 to Nov 13, 2020 · Charlotte, Nc
• V••••••• A•••••••• I••• BD affiliated
  Jan 27, 2015 to Feb 19, 2016 · Charlotte, Nc

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• V••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Mar 1, 2022, registered Mar 24, 2022 (23 days) · Affiliated broker-dealer or bank to another
• A••••• A•• P••••••• S••••••• to V••••••• A•••••••• I•••
  left Nov 13, 2020, registered Dec 16, 2020 (33 days) · Affiliated broker-dealer or bank to another · moved with a team
• V••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••
  left Feb 19, 2016, registered Feb 23, 2016 (4 days) · Other · moved with a team

• ••• Locked
  Mar 1, 2022 · 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

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address