E•••• W••••• W•

• W•••• F•••• A••••••• wirehouse current
  since Nov 22, 2022 · Saratoga, Ca
• J••• M••••• S••••••••• L•• wirehouse
  May 20, 2019 to Nov 2, 2022 · Gardena, Ca
• C••••• I••••••••• A••••••• L•• BD affiliated
  Sep 25, 2017 to Apr 16, 2019 · Milpitas, Ca
• L•• F•••••••• L•• BD affiliated
  Mar 1, 2017 to Sep 25, 2017 · El Monte, Ca
• C••••• I••••••••• A••••••• L•• BD affiliated
  Nov 10, 2016 to Feb 28, 2017 · El Monte, Ca

• J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
  left Nov 2, 2022, registered Nov 22, 2022 (20 days) · Wirehouse to wirehouse · moved with a team
• C••••• I••••••••• A••••••• L•• to J••• M••••• S••••••••• L••
  left Apr 16, 2019, registered May 20, 2019 (34 days) · Affiliated broker-dealer or bank to wirehouse
• L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
  left Sep 25, 2017, registered Sep 25, 2017 (0 days) · Other · moved with a team
• C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
  left Feb 28, 2017, registered Mar 1, 2017 (1 days) · Other · moved with a team

• ••• Locked
  Nov 2, 2022 · 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

11derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address