DFX Intelligence
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S•••••• G••••• H•••••
As of · the IAPD feed
- At current firm
- 21 y
- In the industry
- 42 y
- Prior registered firms
- 1
- Signals
- 0
since Apr 30, 2005
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 30, 2005 · Alexandria, Va
- M••••• S•••••• D• I••• unclassifiedMay 21, 1992 to May 4, 2005 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to C••••••••• F•••••••• N••••••left May 4, 2005, registered Apr 30, 2005 (-4 days) · Other
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address