DFX Intelligence
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N••••• J••••• J•••••••
As of · the IAPD feed
- At current firm
- 2 y
- In the industry
- 39 y
- Prior registered firms
- 2
- Signals
- 1
since Oct 18, 2023
As of · the IAPD feed
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
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 18, 2023 · Keene, Nh
- L•• F•••••••• L•• BD affiliatedSep 19, 2003 to Oct 30, 2023 · Milford, Ct
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 14, 2002 to Sep 24, 2003 · North Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Oct 30, 2023, registered Oct 18, 2023 (-12 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 24, 2003, registered Sep 19, 2003 (-5 days) · Other
Signals
- ••• LockedOct 30, 2023 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address