R••••• J••••• H•••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Jan 8, 2013 · Washington, Pa
• R•• C•••••• M••••••• L•• national BD
  Mar 13, 2009 to Jan 23, 2013 · Sewickley, Pa
• F•••••• B•••• W••••• L•• unclassified
  Nov 4, 2002 to Mar 13, 2009 · Sewickley, Pa

• R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Jan 23, 2013, registered Jan 8, 2013 (-15 days) · Affiliated broker-dealer or bank to another
• F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••
  left Mar 13, 2009, registered Mar 13, 2009 (0 days) · corporate re-registration, 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

46derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address