RIA Intelligence

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Nov 5, 2019 · Midland, Tx
• C••• B•••••••• S•••••••• I••• former
  Jun 5, 2015 to Nov 6, 2019 · Waverly, Ia
• W••••••• F•••••••• S•••••••• I••• former
  Jul 10, 2014 to May 1, 2015 · Odessa, Tx
• E••••• J•••• national BD
  Dec 14, 2009 to Nov 25, 2013 · St Louis, Mo

• C••• B•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Nov 6, 2019, registered Nov 5, 2019 (-1 days) · Affiliated broker-dealer or bank to wirehouse
• W••••••• F•••••••• S•••••••• I••• to C••• B•••••••• S•••••••• I•••
  left May 1, 2015, registered Jun 5, 2015 (35 days) · Other
• E••••• J•••• to W••••••• F•••••••• S•••••••• I•••
  left Nov 25, 2013, registered Jul 10, 2014 (227 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

Wirehousederived

Years in industry

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address