C••• E•••••

• R•• C•••••• M••••••• L•• national BD current
  since Sep 5, 2017 · Hunt Valley, Md
• T••••• A••••••• S•••••••• I••• BD affiliated
  Sep 12, 2016 to Aug 8, 2017 · Bel Air, Md
• S••••••• I••••••••• S•••••••• I••• former
  Feb 28, 2014 to Dec 31, 2016 · Bel Air, Md
• M•• S••••••••• I••• unclassified
  Jan 6, 2012 to Jan 29, 2014 · Baltimore, Md
• T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
  Mar 17, 2011 to Dec 21, 2011 · Owings Mills, Md

• T••••• A••••••• S•••••••• I••• to R•• C•••••• M••••••• L••
  left Aug 8, 2017, registered Sep 5, 2017 (28 days) · Other
• S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
  left Dec 31, 2016, registered Sep 12, 2016 (-110 days) · corporate re-registration, not a move
• M•• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••
  left Jan 29, 2014, registered Feb 28, 2014 (30 days) · Other
• T• R••• P•••• A••••••• S•••••••• I••• to M•• S••••••••• I•••
  left Dec 21, 2011, registered Jan 6, 2012 (16 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

National broker-dealer RIAderived

Years in industry

15derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address