DFX Intelligence
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J••• S• J••••••
As of · the IAPD feed; also filed as J• J• J••••••••• S••••••• J••••••••• J••••••
- At current firm
- 11 y
- In the industry
- 34 y
- Prior registered firms
- 2
- Signals
- 1
since Nov 17, 2014
As of · the IAPD feed; also filed as J• J• J••••••••• S••••••• J••••••••• J••••••
State registrations
2
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 Nov 17, 2014 · La Jolla, Ca
- T• A••••••••• I••• formerApr 22, 2022 to Oct 14, 2022 · Torrance, Ca
- S•••••••• A••••••• L•• national BDFeb 21, 2001 to May 8, 2003 · Glendale, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left May 8, 2003, registered Nov 17, 2014 (4211 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedOct 14, 2022 · Advisor departure · 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
- 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