DFX Intelligence
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T••• R••••• E••••
As of · the IAPD feed
- At current firm
- 21 y
- In the industry
- 33 y
- Prior registered firms
- 2
- Signals
- 0
since Mar 4, 2005
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
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 4, 2005 · Blacklick, Oh
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Mar 4, 2005 · Columbus, Oh
- P••••••••• E••••• G••••• L•• unclassifiedOct 6, 1999 to Jul 1, 2003 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Mar 4, 2005, registered Mar 4, 2005 (0 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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