DFX Intelligence
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C•••••• M•••••• F•••••••
As of · the IAPD feed; also filed as M••• F•••••••
- At current firm
- 17 y
- In the industry
- 41 y
- Prior registered firms
- 1
- Signals
- 0
since Jun 22, 2009
As of · the IAPD feed; also filed as M••• F•••••••
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 Jun 22, 2009 · Richmond, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 6, 1997 to Jul 6, 2009 · Glen Allen, Va
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Jul 6, 2009, registered Jun 22, 2009 (-14 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address