C••••••••• E••• R••

• E••••• J•••• national BD current
  since May 4, 2018 · Dyer, In
• J••• M••••• S••••••••• L•• wirehouse
  Jul 16, 2015 to May 8, 2018 · Schererville, In
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Apr 2, 2014 to Jul 8, 2015 · Hobart, In
• F••••• I••••••••• independent RIA
  Aug 30, 2012 to Oct 24, 2012 · Griffith, In

• J••• M••••• S••••••••• L•• to E••••• J••••
  left May 8, 2018, registered May 4, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J••• M••••• S••••••••• L••
  left Jul 8, 2015, registered Jul 16, 2015 (8 days) · Other
• F••••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Oct 24, 2012, registered Apr 2, 2014 (525 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

National broker-dealer RIAderived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address