DFX Intelligence
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D••••• P••• B•••••
As of · the IAPD feed; also filed as D•• B•••••
- At current firm
- 5 y
- In the industry
- 25 y
- Prior registered firms
- 4
- Signals
- 0
since Jan 15, 2021
As of · the IAPD feed; also filed as D•• B•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 15, 2021 · Dublin, Oh
- W•••• F•••• A••••••• wirehouseFeb 10, 2009 to Jan 21, 2021 · Dublin, Oh
- S•••••••• F••••••••• I••• formerMay 4, 2006 to Feb 11, 2009 · Scottsdale, Az
- P•••••••• C•••••• M••••••••• unclassifiedOct 21, 2001 to Aug 16, 2006 · Dublin, Oh
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 5, 2001 to May 2, 2006 · Dublin, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 21, 2021, registered Jan 15, 2021 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••••• F••••••••• I••• to W•••• F•••• A•••••••left Feb 11, 2009, registered Feb 10, 2009 (-1 days) · Other
- P•••••••• C•••••• M••••••••• to S•••••••• F••••••••• I•••left Aug 16, 2006, registered May 4, 2006 (-104 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to P•••••••• C•••••• M•••••••••left May 2, 2006, registered Oct 21, 2001 (-1654 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote