S••••• R• P•••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Paramus, Nj
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 30, 2020 to Mar 31, 2025 · Mountain View, Ca
• C•••••• S••••• • C••• I••• national BD
  Oct 30, 2017 to Jul 13, 2020 · Los Angeles, Ca
• G•••••• S•••• W••••• S•••••••• L••• BD affiliated
  Nov 7, 2014 to Feb 13, 2017 · Irvine, Ca

• 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•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 13, 2020, registered Jul 30, 2020 (17 days) · Affiliated broker-dealer or bank to another · moved with a team
• G•••••• S•••• W••••• S•••••••• L••• to C•••••• S••••• • C••• I•••
  left Feb 13, 2017, registered Oct 30, 2017 (259 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

National broker-dealer RIAderived

Years in industry

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address