J••• S•••••• B••••

• O•••••• W••••• S•••••••• L•• state registered current
  since Jul 17, 2018 · Saint Charles, Mo
• S•••••• N••••••• • C••••••• I••••••••• national BD
  Oct 30, 2014 to Jul 3, 2018 · St. Louis, Mo
• P•• W••••• M••••••••• BD affiliated
  Feb 4, 2013 to Nov 20, 2013 · St. Louis, Mo
• E••••• J•••• national BD
  Mar 19, 2012 to Jun 22, 2012 · St Louis, Mo

• S•••••• N••••••• • C••••••• I••••••••• to O•••••• W••••• S•••••••• L••
  left Jul 3, 2018, registered Jul 17, 2018 (14 days) · Affiliated broker-dealer or bank to a state-registered adviser
• P•• W••••• M••••••••• to S•••••• N••••••• • C••••••• I•••••••••
  left Nov 20, 2013, registered Oct 30, 2014 (344 days) · Other
• E••••• J•••• to P•• W••••• M•••••••••
  left Jun 22, 2012, registered Feb 4, 2013 (227 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

14derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address