S••••• C•••••

• P•••••••• A••••••• national BD current
  since May 7, 2019 · Simi Valley, Ca
• J••• M••••• S••••••••• L•• wirehouse
  Mar 25, 2016 to Jul 28, 2017 · Tujunga, Ca
• E•••••••• A•••••••• L•• national BD
  Oct 13, 2014 to Mar 9, 2016 · North Hollywood, Ca

• J••• M••••• S••••••••• L•• to P•••••••• A•••••••
  left Jul 28, 2017, registered May 7, 2019 (648 days) · Wirehouse to affiliated broker-dealer or bank
• E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
  left Mar 9, 2016, registered Mar 25, 2016 (16 days) · Affiliated broker-dealer or bank 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

25derivedfrom the earliest dated exam, employment or registration

Not published

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