DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
E•••••••• I• W•••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· St. Louis, MoIAPD 2438467
As of · the IAPD feed; also filed as E•••••••• I• W••••••••• I•••• H••••••••• I•••• W•••
- At current firm
- 9 y
- In the industry
- 30 y
- Prior registered firms
- 6
- Signals
- 0
since Sep 8, 2017
As of · the IAPD feed; also filed as E•••••••• I• W••••••••• I•••• H••••••••• I•••• W•••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 8, 2017 · St. Louis, Mo
- M••••• S•••••• wirehouseSep 3, 2014 to Aug 21, 2017 · St. Louis, Mo
- C•••••• S••••• • C••• I••• national BDSep 14, 2010 to Aug 4, 2014 · Clayton, Mo
- L•• F•••••••• L•• BD affiliatedJan 4, 2008 to Mar 19, 2009 · Belleville, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Oct 2, 2007 · Shiloh, Il
- M••••• S•••••• D• I••• unclassifiedDec 6, 2006 to Apr 2, 2007 · Shiloh, Il
All 6 prior registrationsShow fewer
- U•• F•••••••• S••••••• I••• wirehouseOct 18, 1999 to Nov 29, 2006 · Clayton, Mo
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 21, 2017, registered Sep 8, 2017 (18 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to M••••• S••••••left Aug 4, 2014, registered Sep 3, 2014 (30 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Mar 19, 2009, registered Sep 14, 2010 (544 days) · Other
- M••••• S•••••• • C•• L•• to L•• F•••••••• L••left Oct 2, 2007, registered Jan 4, 2008 (94 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
All 6 movesShow fewer
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Nov 29, 2006, registered Dec 6, 2006 (7 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote