O••• M•••••• M••••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Citrus Heights, Ca
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Sep 23, 2019 to Mar 31, 2025 · Sacramento, Ca
• W•••• F•••• A••••••• wirehouse
  Feb 6, 2015 to Sep 4, 2019 · Carmichael, Ca
• J••• M••••• S••••••••• L•• wirehouse
  Oct 20, 2014 to Jan 5, 2015 · Roseville,, Ca

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Sep 4, 2019, registered Sep 23, 2019 (19 days) · Wirehouse to affiliated broker-dealer or bank
• J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
  left Jan 5, 2015, registered Feb 6, 2015 (32 days) · Wirehouse to wirehouse · moved with a team

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

12derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address