DFX Intelligence
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T••••• J•••• D••••••
Certified Financial Planner · Chartered Financial Consultant
As of · the IAPD feed; also filed as T•• D••••••
- At current firm
- 19 y
- In the industry
- 33 y
- Prior registered firms
- 2
- Signals
- 0
since Dec 19, 2006
As of · the IAPD feed; also filed as T•• D••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Dec 19, 2006 · Monroe, Nc
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Jan 5, 2007 · Monroe, Nc
- M••• S••••••••• C••••••••• unclassifiedNov 28, 2000 to Jun 1, 2005 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Jan 5, 2007, registered Dec 19, 2006 (-17 days) · Affiliated broker-dealer or bank to another
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address