P••• A••••••

• C•••••• S••••• • C••• I••• national BD current
  since Oct 4, 2022 · Westlake, Tx
• T• A••••••••• I••••••••• M••••••••• L•• former
  Sep 30, 2014 to Jul 27, 2017 · Fort Worth, Tx
• T• A••••••••• I••• former
  Sep 30, 2014 to Oct 14, 2022 · Omaha, Ne
• W•••• F•••• I••••••••• L•• unclassified
  Jan 5, 2009 to Oct 28, 2009 · Fort Worth, Tx

• T• A••••••••• I••• to C•••••• S••••• • C••• I•••
  left Oct 14, 2022, registered Oct 4, 2022 (-10 days) · channel change inside one enterprise, not a move
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Jul 27, 2017, registered Sep 30, 2014 (-1031 days) · channel change inside one enterprise, not a move · moved with a team
• W•••• F•••• I••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
  left Oct 28, 2009, registered Sep 30, 2014 (1798 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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address