DFX Intelligence
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T• S•••• N•••••
As of · the IAPD feed; also filed as T••••• S•••• N•••••
- At current firm
- 19 y
- In the industry
- 34 y
- Prior registered firms
- 1
- Signals
- 0
since May 23, 2007
As of · the IAPD feed; also filed as T••••• S•••• N•••••
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
- E•••••••• A•••••••• L•• BD affiliated currentsince May 23, 2007 · Inlet Beach, Fl
- P•••• S••••••••• L•• no RAUMAug 6, 2001 to May 9, 2007 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left May 9, 2007, registered May 23, 2007 (14 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom 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