DFX Intelligence
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D••••• S•••• H•••
As of · the IAPD feed; also filed as S•••• H•••
- At current firm
- 19 y
- In the industry
- 38 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 6, 2006
As of · the IAPD feed; also filed as S•••• H•••
State registrations
2
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 Nov 6, 2006 · Waltham, Ma
- O•••• F•• I••• formerJan 1, 2000 to Nov 15, 2006 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to C••••••••• F•••••••• N••••••left Nov 15, 2006, registered Nov 6, 2006 (-9 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address