D•••• M•••

• F•••• M••• C•••••• state registered current
  since Jul 13, 2022 · Tacoma, Wa
• M•• I•••••••• S•••••••• L•• BD affiliated
  Jul 15, 2020 to Nov 19, 2021 · Longview, Wa
• P•••• S••••••••• L•• no RAUM
  Jan 17, 2018 to Jun 24, 2020 · Mercer Island, Wa
• A••••• A•• P••••••• S••••••• BD affiliated
  Nov 10, 2014 to Oct 12, 2017 · Bethesda, Md
• M••••• S•••••• wirehouse
  Oct 14, 2011 to Oct 13, 2014 · Rockville, Md
• E••••• J•••• national BD
  Feb 8, 2010 to Oct 17, 2011 · St Louis, Mo

• M•• I•••••••• S•••••••• L•• to F•••• M••• C••••••
  left Nov 19, 2021, registered Jul 13, 2022 (236 days) · Affiliated broker-dealer or bank to a state-registered adviser
• P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
  left Jun 24, 2020, registered Jul 15, 2020 (21 days) · Affiliated broker-dealer or bank to another
• A••••• A•• P••••••• S••••••• to P•••• S••••••••• L••
  left Oct 12, 2017, registered Jan 17, 2018 (97 days) · Other
• M••••• S•••••• to A••••• A•• P••••••• S•••••••
  left Oct 13, 2014, registered Nov 10, 2014 (28 days) · Other
• E••••• J•••• to M••••• S••••••
  left Oct 17, 2011, registered Oct 14, 2011 (-3 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

STATE REGISTEREDderived

Years in industry

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address