DFX Intelligence
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S•••••• J•• H•••••••
As of · the IAPD feed; also filed as S•••• H•••••••
- At current firm
- 19 y
- In the industry
- 35 y
- Prior registered firms
- 2
- Signals
- 0
since Jun 6, 2007
As of · the IAPD feed; also filed as S•••• H•••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Jun 6, 2007 · Folsom, Ca
- 1••• C•••••• M••••••••• C•••••• unclassifiedMar 8, 2006 to Jun 6, 2007 · Walnut Creek, Ca
- M•• F•••••••• S•••••••• I••• formerSep 17, 2001 to Mar 13, 2006 · Pleasanton, Ca
Moves
a registration end followed by a registration begin elsewhere
- 1••• C•••••• M••••••••• C•••••• to E•••••••• A•••••••• L••left Jun 6, 2007, registered Jun 6, 2007 (0 days) · Other
- M•• F•••••••• S•••••••• I••• to 1••• C•••••• M••••••••• C••••••left Mar 13, 2006, registered Mar 8, 2006 (-5 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address