S••••• R•••••• B•••••••

• L•• F•••••••• L•• BD affiliated current
  since Mar 1, 2023 · Charlotte, Nc
• W•••• F•••• A••••••• wirehouse
  Sep 7, 2017 to Mar 16, 2023 · Charlotte, Nc
• P•• W••••• M••••••••• BD affiliated
  May 14, 2015 to Aug 29, 2017 · Charlotte, Nc
• U•• F•••••••• S••••••• I••• wirehouse
  May 23, 2014 to Dec 22, 2014 · Charlotte, Nc
• W•••• F•••• A••••••• wirehouse
  Aug 2, 2013 to May 19, 2014 · Charlotte, Nc

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Mar 16, 2023, registered Mar 1, 2023 (-15 days) · Wirehouse to independent RIA · moved with a team
• P•• W••••• M••••••••• to W•••• F•••• A•••••••
  left Aug 29, 2017, registered Sep 7, 2017 (9 days) · Other
• U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••
  left Dec 22, 2014, registered May 14, 2015 (143 days) · Other
• W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
  left May 19, 2014, registered May 23, 2014 (4 days) · Wirehouse to wirehouse

• ••• Locked
  Mar 16, 2023 · Advisor changed firm · fact

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

14derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address