A••••• J••• C••••••

• E••••• J•••• national BD current
  since Mar 4, 2022 · Greensboro, Nc
• W•••• F•••• A••••••• wirehouse
  Jul 19, 2019 to Mar 9, 2022 · Lexington, Nc
• P•••• S••••••••• L•• no RAUM
  Aug 8, 2017 to Jun 11, 2019 · Charlotte, Nc
• E••••• J•••• national BD
  Jan 20, 2017 to Jan 23, 2017 · Greensboro, Nc

• W•••• F•••• A••••••• to E••••• J••••
  left Mar 9, 2022, registered Mar 4, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
• P•••• S••••••••• L•• to W•••• F•••• A•••••••
  left Jun 11, 2019, registered Jul 19, 2019 (38 days) · Affiliated broker-dealer or bank to wirehouse
• E••••• J•••• to P•••• S••••••••• L••
  left Jan 23, 2017, registered Aug 8, 2017 (197 days) · Other

• ••• Locked
  Mar 9, 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

National broker-dealer RIAderived

Years in industry

10derivedfrom the earliest dated exam, employment or registration

Not published

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