DFX Intelligence
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M••• A•••• W•••••
As of · the IAPD feed
- At current firm
- 10 y
- In the industry
- 33 y
- Prior registered firms
- 2
- Signals
- 0
since Sep 6, 2016
As of · the IAPD feed
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 6, 2016 · Atlanta, Ga
- W•••• F•••• A••••••• wirehouseAug 1, 2007 to Mar 1, 2013 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 30, 2003 to Jul 30, 2007 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Mar 1, 2013, registered Sep 6, 2016 (1285 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jul 30, 2007, registered Aug 1, 2007 (2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address