D•••• A•••• M••••

• O•••• W•••••• I••• BD affiliated current
  since Jan 19, 2024 · Cumming, Ga
• W••••••• F•••••••• S•••••••• I••• former
  Jun 20, 2011 to Jan 19, 2024 · Alpharetta, Ga
• E•••••••• A•••••••• L•• national BD
  Nov 25, 2008 to Jun 17, 2011 · Alpharetta, Ga
• W••••••• F•••••••• S•••••••• I••• former
  Feb 4, 2003 to Dec 3, 2008 · San Antonio, Tx

• W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
  left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
• E•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
  left Jun 17, 2011, registered Jun 20, 2011 (3 days) · Other
• W••••••• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••
  left Dec 3, 2008, registered Nov 25, 2008 (-8 days) · Other

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

43derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address