K•••• P•••••• C••••••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Aug 30, 2019 · Annapolis, Md
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Aug 19, 2015 to Sep 3, 2019 · Annapolis, Md
• T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
  Oct 2, 2013 to Jul 23, 2015 · Owings Mills, Md

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
  left Sep 3, 2019, registered Aug 30, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• T• R••• P•••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Jul 23, 2015, registered Aug 19, 2015 (27 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

National broker-dealer RIAderived

Years in industry

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address