DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
R•••••• L••• P••••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Rocky Mount, NcIAPD 1054195
As of · the IAPD feed; also filed as •••• R•••••• L••• P••••••••• L••• P••••••••• L••• P•••••• I••
- At current firm
- 15 y
- In the industry
- 44 y
- Prior registered firms
- 3
- Signals
- 0
since Oct 26, 2010
As of · the IAPD feed; also filed as •••• R•••••• L••• P••••••••• L••• P••••••••• L••• P•••••• I••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 26, 2010 · Rocky Mount, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 5, 2010 · Rocky Mount, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Rocky Mount, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to Feb 21, 2006 · Rocky Mount, Nc
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 5, 2010, registered Oct 26, 2010 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address