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S••••• G••••• H•••
As of · the IAPD feed; also filed as S••••• H•••
- At current firm
- 6 y
- In the industry
- 36 y
- Prior registered firms
- 2
- Signals
- 0
since Jun 4, 2020
As of · the IAPD feed; also filed as S••••• H•••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jun 4, 2020 · Lone Tree, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to May 1, 2020 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 15, 2014 to Jul 13, 2018 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left May 1, 2020, registered Jun 4, 2020 (34 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address