S•••• C••••••••• C•••••••

• A••••••• A••••••• S•••••••• L•• BD affiliated current
  since Nov 1, 2021 · Cincinnati, Oh
• C•••••• W••••• M••••••••• L•• unclassified
  Apr 11, 2018 to Jan 2, 2020 · Amelia, Oh
• F•••• T•••• S••••••••• I••• BD affiliated
  May 25, 2016 to Apr 24, 2018 · Cincinnati, Oh
• S•••••••• A••••••• L•• national BD
  Oct 15, 2015 to May 16, 2016 · Covington, Ky

• C•••••• W••••• M••••••••• L•• to A••••••• A••••••• S•••••••• L••
  left Jan 2, 2020, registered Nov 1, 2021 (669 days) · Other
• F•••• T•••• S••••••••• I••• to C•••••• W••••• M••••••••• L••
  left Apr 24, 2018, registered Apr 11, 2018 (-13 days) · Other
• S•••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••
  left May 16, 2016, registered May 25, 2016 (9 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

Broker-dealer affiliated wealth managerderived

Years in industry

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address