J•••• M•••••••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Benton Harbor, Mi
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Nov 22, 2021 to Mar 31, 2025 · Chicago, Il
• A••••••••• F•••••••• S•••••••• L•• national BD
  Aug 10, 2020 to Jul 1, 2021 · Chicago, Il
• T• A••••••••• I••••••••• M••••••••• L•• former
  Oct 22, 2019 to Jul 17, 2020 · Columbus, Oh
• T• A••••••••• I••• former
  Oct 22, 2019 to Jul 17, 2020 · Columbia, Md

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 1, 2021, registered Nov 22, 2021 (144 days) · Affiliated broker-dealer or bank to another
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Jul 17, 2020, registered Oct 22, 2019 (-269 days) · Other
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Jul 17, 2020, registered Oct 22, 2019 (-269 days) · channel change inside one enterprise, not a move

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

disclosure flags, outside business text, branch street address