A•••• M•••••• H•••

• L•• F•••••••• L•• BD affiliated current
  since Oct 19, 2018 · Lake Villa, Il
• C••••• A•••••• N••••••• L•• former
  Dec 15, 2016 to Oct 29, 2018 · Wauconda, Il
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jun 10, 2011 to Dec 15, 2016 · Deer Park, Il
• E••••• J•••• national BD
  Sep 24, 2009 to Jun 16, 2011 · Lake Barrington, Il

• C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
  left Oct 29, 2018, registered Oct 19, 2018 (-10 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• A•••••• N••••••• L••
  left Dec 15, 2016, registered Dec 15, 2016 (0 days) · Other
• E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Jun 16, 2011, registered Jun 10, 2011 (-6 days) · Affiliated broker-dealer or bank to wirehouse

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