L••••• C•••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Nov 4, 2019 · Pasadena, Ca
• M••••• S•••••• wirehouse
  Jan 10, 2019 to Jul 11, 2019 · Pasadena, Ca
• J••• M••••• S••••••••• L•• wirehouse
  Oct 17, 2017 to Jan 3, 2019 · San Marino, Ca
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jul 13, 2015 to Jul 13, 2017 · Albuquerque, Nm

• M••••• S•••••• to C••••• I••••••••• A••••••• L••
  left Jul 11, 2019, registered Nov 4, 2019 (116 days) · Wirehouse to affiliated broker-dealer or bank
• J••• M••••• S••••••••• L•• to M••••• S••••••
  left Jan 3, 2019, registered Jan 10, 2019 (7 days) · Wirehouse to wirehouse
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
  left Jul 13, 2017, registered Oct 17, 2017 (96 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

Broker-dealer affiliated wealth managerderived

Years in industry

11derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address