DFX Intelligence
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R••••••• M•••••• H•••••
Registered advisorat R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dual registrant· Palm Desert, CaIAPD 1949924
Certified Financial Planner
As of · the IAPD feed; also filed as R•• H•••••
- At current firm
- 4 y
- In the industry
- 37 y
- Prior registered firms
- 3
- Signals
- 1
since May 27, 2022
As of · the IAPD feed; also filed as R•• H•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 27, 2022 · Palm Desert, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 3, 2022 · Indian Wells, Ca
- M••••• S•••••• • C•• L•• unclassifiedOct 28, 2008 to Jun 1, 2009 · Palm Desert, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Nov 6, 2008 · Palm Desert, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 3, 2022, registered May 27, 2022 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Nov 6, 2008, registered Oct 28, 2008 (-9 days) · Other
Signals
- ••• LockedJun 3, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address