A••••• C•••••••• L•••

• M•••••• BD affiliated current
  since Feb 16, 2021 · Portland, Or
• M••••• S•••••• wirehouse
  May 16, 2016 to Mar 2, 2021 · Seattle, Wa
• S•••••• N••••••• • C••••••• I••••••••• national BD
  Dec 4, 2015 to Dec 4, 2015 · St. Louis, Mo
• B••••••• C•••••• I••• former
  Feb 20, 2013 to Dec 4, 2015 · New York, Ny

• M••••• S•••••• to M••••••
  left Mar 2, 2021, registered Feb 16, 2021 (-14 days) · Wirehouse to affiliated broker-dealer or bank
• B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
• S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••
  left Dec 4, 2015, registered May 16, 2016 (164 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

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address