R••••• S•••••••

• M••••• S•••••• wirehouse current
  since Jun 12, 2023 · Houston, Tx
• B• R•••• W••••• A•••••••• I••• BD affiliated
  Aug 25, 2022 to May 23, 2023 · Houston, Tx
• B• R•••• W••••• M••••••••• former
  Sep 25, 2014 to Dec 31, 2022 · Houston, Tx

• B• R•••• W••••• A•••••••• I••• to M••••• S••••••
  left May 23, 2023, registered Jun 12, 2023 (20 days) · Affiliated broker-dealer or bank to wirehouse
• B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••
  left Dec 31, 2022, registered Aug 25, 2022 (-128 days) · corporate re-registration, not a move

• ••• Locked
  May 23, 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

Wirehousederived

Years in industry

12derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address