DFX Intelligence
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S•••• K•• H•••••••
As of · the IAPD feed
- At current firm
- 16 y
- In the industry
- 29 y
- Prior registered firms
- 1
- Signals
- 0
since Dec 11, 2009
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Dec 11, 2009 · Westlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 11, 2006 to Jul 9, 2008 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jul 9, 2008, registered Dec 11, 2009 (520 days) · Wirehouse to affiliated broker-dealer or bank
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address