DFX Intelligence
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C•••••• L•• P•••••
As of · the IAPD feed; also filed as C•••••• T••••••
- At current firm
- 7 y
- In the industry
- 38 y
- Prior registered firms
- 2
- Signals
- 0
since May 31, 2019
As of · the IAPD feed; also filed as C•••••• T••••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince May 31, 2019 · Tucson, Az
- U•• F•••••••• S••••••• I••• wirehouseSep 14, 2007 to Jun 11, 2019 · La Jolla, Ca
- R•• C•••••• M••••••• L•• national BDMar 14, 2002 to Sep 20, 2007 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jun 11, 2019, registered May 31, 2019 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 20, 2007, registered Sep 14, 2007 (-6 days) · Affiliated broker-dealer or bank to wirehouse
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
- 38derivedfrom 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