K•••• S•••• S•••

• L•• F•••••••• L•• BD affiliated current
  since Jan 29, 2019 · Charlotte, Nc
• W•••• F•••• A••••••• wirehouse
  Nov 19, 2018 to Jan 10, 2019 · Charlotte, Nc
• L•• F•••••••• L•• BD affiliated
  Mar 27, 2018 to Nov 6, 2018 · Fort Mill, Sc
• J• W• C••• A•••••••• I••• BD affiliated
  Jun 15, 2016 to Sep 13, 2016 · Indianapolis, In
• E••••• J•••• national BD
  Feb 16, 2016 to Mar 2, 2016 · Indianapolis, In
• L•• F•••••••• L•• BD affiliated
  Jul 24, 2015 to Dec 21, 2015 · Indianapolis, In

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Jan 10, 2019, registered Jan 29, 2019 (19 days) · Wirehouse to independent RIA
• L•• F•••••••• L•• to W•••• F•••• A•••••••
  left Nov 6, 2018, registered Nov 19, 2018 (13 days) · RIA to wirehouse · moved with a team
• J• W• C••• A•••••••• I••• to L•• F•••••••• L••
  left Sep 13, 2016, registered Mar 27, 2018 (560 days) · Other
• E••••• J•••• to J• W• C••• A•••••••• I•••
  left Mar 2, 2016, registered Jun 15, 2016 (105 days) · Other
• L•• F•••••••• L•• to E••••• J••••
  left Dec 21, 2015, registered Feb 16, 2016 (57 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

Broker-dealer affiliated wealth managerderived

Years in industry

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address