A•••••• N••••

• J••• M••••• S••••••••• L•• wirehouse current
  since Sep 8, 2021 · San Diego, Ca
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 29, 2020 to Jul 27, 2021 · Torrance, Ca
• T• A••••••••• I••••••••• M••••••••• L•• former
  Sep 10, 2018 to Jun 11, 2020 · San Diego, Ca
• T• A••••••••• I••• former
  Sep 10, 2018 to Jun 11, 2020 · San Diego, Ca

• F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••
  left Jul 27, 2021, registered Sep 8, 2021 (43 days) · Affiliated broker-dealer or bank to wirehouse
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Jun 11, 2020, registered Sep 10, 2018 (-640 days) · channel change inside one enterprise, not a move
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Jun 11, 2020, registered Sep 10, 2018 (-640 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

Wirehousederived

Years in industry

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address