S•••••• L•• C•••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Oct 25, 2013 · Denver, Co
• U•• F•••••••• S••••••• I••• wirehouse
  Aug 12, 2006 to Oct 31, 2013 · Boulder, Co
• P•••• S•••••• • C•• institutional
  Jan 1, 1999 to Aug 12, 2006 · Glenwood Springs, Co

• U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Oct 31, 2013, registered Oct 25, 2013 (-6 days) · Wirehouse to affiliated broker-dealer or bank
• P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••
  left Aug 12, 2006, registered Aug 12, 2006 (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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address