A•• L••• P••••••

• C•••••• S••••• • C••• I••• national BD current
  since Aug 7, 2024 · Chicago, Il
• P•••• S••••••••• L•• no RAUM
  Jun 29, 2021 to Jun 13, 2023 · Chicago, Il
• A••••• A•• P••••••• S••••••• BD affiliated
  Dec 12, 2011 to Apr 13, 2021 · Phoenix, Az
• C•••• I••••••••• S••••••• C•••• former
  Jul 5, 2011 to Oct 19, 2011 · Wheaton, Il

• P•••• S••••••••• L•• to C•••••• S••••• • C••• I•••
  left Jun 13, 2023, registered Aug 7, 2024 (421 days) · Affiliated broker-dealer or bank to another
• A••••• A•• P••••••• S••••••• to P•••• S••••••••• L••
  left Apr 13, 2021, registered Jun 29, 2021 (77 days) · Affiliated broker-dealer or bank to another
• C•••• I••••••••• S••••••• C•••• to A••••• A•• P••••••• S•••••••
  left Oct 19, 2011, registered Dec 12, 2011 (54 days) · Other

• ••• Locked
  Jun 13, 2023 · 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