J•••• W•••••

• L•• F•••••••• L•• BD affiliated current
  since Nov 29, 2021 · San Mateo, Ca
• C••••• A•••••• N••••••• L•• former
  Jun 9, 2021 to Dec 2, 2021 · Foster City, Ca
• V••• F•••••••• A•••••••• I••• BD affiliated
  Mar 26, 2019 to Jun 9, 2021 · Foster City, Ca
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Feb 28, 2017 to Mar 25, 2019 · Palo Alto, Ca

• C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
  left Dec 2, 2021, registered Nov 29, 2021 (-3 days) · Affiliated broker-dealer or bank to another
• V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
  left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••
  left Mar 25, 2019, registered Mar 26, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank

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

11derivedfrom the earliest dated exam, employment or registration

Not published

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