J••••• G•••••• S••••••

• W• S••••• • C••• L•• state registered current
  since Oct 5, 2020 · Wildwood, Mo
• C•••••• S••••• • C••• I••• national BD
  Nov 16, 2018 to Apr 29, 2019 · Forest Hills, Ny
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jun 16, 2017 to Mar 1, 2018 · Short Hills, Nj
• S••••••• F•••••••• S•••••••• I••• former
  Jan 5, 2011 to Jan 3, 2014 · St. Louis, Mo

• C•••••• S••••• • C••• I••• to W• S••••• • C••• L••
  left Apr 29, 2019, registered Oct 5, 2020 (525 days) · Affiliated broker-dealer or bank to a state-registered adviser
• C•••••••• G••••• M•••••• I••• to C•••••• S••••• • C••• I•••
  left Mar 1, 2018, registered Nov 16, 2018 (260 days) · Affiliated broker-dealer or bank to another
• S••••••• F•••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••
  left Jan 3, 2014, registered Jun 16, 2017 (1260 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

STATE REGISTEREDderived

Years in industry

15derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address