DFX Intelligence
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O••••• R••••• D••••••••
Chartered Financial Consultant
As of · the IAPD feed; also filed as B•• D••••••••• D••••••••
- At current firm
- 23 y
- In the industry
- 28 y
- Prior registered firms
- 2
- Signals
- 0
since Mar 19, 2003
As of · the IAPD feed; also filed as B•• D••••••••• D••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 19, 2003 · Glendale, Ca
- A••••••• G•••• W••• unclassifiedSep 9, 2003 to May 5, 2021 · Glendale, Ca
- O•••• F•• I••• formerDec 19, 1997 to Mar 21, 2003 · Glendale, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••• G•••• W••• to no registered destinationleft May 5, 2021 · Departure, no registered destination
- O•••• F•• I••• to C••••••••• F•••••••• N••••••left Mar 21, 2003, registered Mar 19, 2003 (-2 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address