Y•• C•••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Nov 1, 2023 · Pasadena, Ca
• L•• F•••••••• L•• BD affiliated
  Jul 19, 2023 to Nov 14, 2023 · Cerritos, Ca
• B••••••• I••••••••• S•••••••• I••• ••••• former
  Jun 25, 2018 to Jul 19, 2023 · Pasadena, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to May 22, 2012 · Reseda, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Oct 5, 2009 to Jan 3, 2011 · Northridge, Ca

• L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
  left Nov 14, 2023, registered Nov 1, 2023 (-13 days) · Affiliated broker-dealer or bank to another
• B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••
  left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••
  left May 22, 2012, registered Jun 25, 2018 (2225 days) · Wirehouse to affiliated broker-dealer or bank
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

• ••• Locked
  Nov 14, 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

Broker-dealer affiliated wealth managerderived

Years in industry

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address