DFX Intelligence
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L•••• P••• I•••••••••
As of · the IAPD feed; also filed as L•• I•••••••••
- At current firm
- 13 y
- In the industry
- 34 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 15, 2012
As of · the IAPD feed; also filed as L•• I•••••••••
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
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 15, 2012 · Dunmore, Pa
- L•• F•••••••• L•• BD affiliatedOct 9, 2012 to Nov 27, 2012 · Factoryville, Pa
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Nov 27, 2012, registered Nov 15, 2012 (-12 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address