D•••• L•• T•••••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Mar 31, 2025 · Leavenworth, Ks
• L•• F•••••••• L•• BD affiliated
  Jul 19, 2023 to Apr 17, 2025 · Westminster, Ca
• B••••••• I••••••••• S•••••••• I••• ••••• former
  Dec 15, 2015 to Jul 19, 2023 · Stanton, Ca
• T••••••• I••••••••• M••••••••• I••• BD affiliated
  Apr 1, 2014 to Dec 15, 2015 · Brea, Ca

• L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
  left Apr 17, 2025, registered Mar 31, 2025 (-17 days) · Affiliated broker-dealer or bank to another
• B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••
  left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
• T••••••• I••••••••• M••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••
  left Dec 15, 2015, registered Dec 15, 2015 (0 days) · Other

• ••• Locked
  Apr 17, 2025 · Advisor changed firm · fact

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

12derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address