A••••• C••••• R••••••••

• T••••••• I••••••••• M••••••••• I••• BD affiliated current
  since Jan 24, 2017 · Torrance, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 15, 2016 to Nov 30, 2016 · Pasadena, Ca
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Mar 13, 2012 to Jan 20, 2016 · Pasadena, Ca
• T••••••• I••••••••• M••••••••• I••• BD affiliated
  Dec 4, 2009 to Mar 15, 2012 · Thousand Oaks, Ca

• W•••• F•••• A••••••• to T••••••• I••••••••• M••••••••• I•••
  left Nov 30, 2016, registered Jan 24, 2017 (55 days) · Other
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••
  left Jan 20, 2016, registered Jan 15, 2016 (-5 days) · Other
• T••••••• I••••••••• M••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Mar 15, 2012, registered Mar 13, 2012 (-2 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

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address