J•••••• W•••••• G••••••••

• O•••• W•••••• I••• BD affiliated current
  since Jan 24, 2025 · Campbell, Ca
• O•••• F•• I••• former
  Jul 25, 2011 to Jan 24, 2025 · Campbell, Ca
• L•• F•••••••• L•• BD affiliated
  Sep 8, 2009 to Jul 28, 2011 · Sunnyvale, Ca
• A••••••••• P••••••• I••••••••• A••••••• I•• unclassified
  Apr 30, 2009 to Oct 13, 2009 · San Jose, Ca
• A••••••••• S••••••••• C•••• unclassified
  Apr 29, 2009 to Sep 8, 2009 · San Jose, Ca

• O•••• F•• I••• to O•••• W•••••• I•••
  left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to O•••• F•• I•••
  left Jul 28, 2011, registered Jul 25, 2011 (-3 days) · Other
• A••••••••• P••••••• I••••••••• A••••••• I•• to L•• F•••••••• L••
  left Oct 13, 2009, registered Sep 8, 2009 (-35 days) · Other
• A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••
  left Sep 8, 2009, registered Apr 30, 2009 (-131 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

Broker-dealer affiliated wealth managerderived

Years in industry

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address