S•••••• D••••• C•••••••

• P•• W••••• M••••••••• BD affiliated current
  since Jun 4, 2019 · Charlotte, Nc
• P•••• S••••••••• L•• no RAUM
  Apr 4, 2018 to Apr 17, 2019 · Charlotte, Nc
• L•• F•••••••• L•• BD affiliated
  Aug 17, 2015 to Apr 2, 2018 · Gastonia, Nc
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Mar 25, 2010 to Aug 17, 2015 · Gastonia, Nc

• P•••• S••••••••• L•• to P•• W••••• M•••••••••
  left Apr 17, 2019, registered Jun 4, 2019 (48 days) · Affiliated broker-dealer or bank to another
• L•• F•••••••• L•• to P•••• S••••••••• L••
  left Apr 2, 2018, registered Apr 4, 2018 (2 days) · RIA to affiliated broker-dealer or bank
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••
  left Aug 17, 2015, registered Aug 17, 2015 (0 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