M•••••• C• L••••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · St. Louis, Mo
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Nov 2, 2021 to Mar 31, 2025 · St. Louis, Mo
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jun 2, 2021 to Sep 3, 2021 · O'Fallon, Mo
• T• A••••••••• I••••••••• M••••••••• L•• former
  May 14, 2019 to Dec 31, 2020 · St. Louis, Mo
• T• A••••••••• I••• former
  May 14, 2019 to Jan 11, 2021 · St. Louis, Mo

• 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
• C•••••••• G••••• M•••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Sep 3, 2021, registered Nov 2, 2021 (60 days) · Affiliated broker-dealer or bank to another
• T• A••••••••• I••• to C•••••••• G••••• M•••••• I•••
  left Jan 11, 2021, registered Jun 2, 2021 (142 days) · Other
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Dec 31, 2020, registered May 14, 2019 (-597 days) · corporate re-registration, not a move

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