DFX Intelligence
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S•••••••• A•• G•••
Certified Financial Planner
As of · the IAPD feed; also filed as S•••••••• A•• D•••••
- At current firm
- 20 y
- In the industry
- 27 y
- Prior registered firms
- 2
- Signals
- 0
since Dec 2, 2005
As of · the IAPD feed; also filed as S•••••••• A•• D•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Dec 2, 2005 · Port Townsend,, Wa
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Dec 5, 2005 · Phoenix, Az
- S••••• S••••••••• C••••••••• unclassifiedJul 14, 1999 to Oct 31, 2005 · Port Townsend, Wa
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to C••••••••• F•••••••• N••••••left Dec 5, 2005, registered Dec 2, 2005 (-3 days) · Other
- S••••• S••••••••• C••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address