L••• A•••••• R•••••

• W•••• F•••• A••••••• wirehouse current
  since Feb 1, 2024 · Wilmington, Nc
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jul 28, 2023 to Dec 12, 2023 · Cornelius, Nc
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jul 9, 2021 to Aug 3, 2023 · Greensboro, Nc
• W•••• F•••• A••••••• wirehouse
  Oct 6, 2014 to Jul 12, 2021 · Greensboro, Nc

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••
  left Dec 12, 2023, registered Feb 1, 2024 (51 days) · Affiliated broker-dealer or bank to wirehouse
• A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Aug 3, 2023, registered Jul 28, 2023 (-6 days) · Affiliated broker-dealer or bank to another
• W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
  left Jul 12, 2021, registered Jul 9, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank

• ••• Locked
  Dec 12, 2023 · Advisor changed firm · fact
• ••• Locked
  Aug 3, 2023 · 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

Wirehousederived

Years in industry

12derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address