DFX Intelligence
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M•••• A•••••• R•••••••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Santa Barbara, CaIAPD 2448965
As of · the IAPD feed; also filed as M•••• L••• A••••••••• L••• A••••••••• L• A••••••
- At current firm
- 11 y
- In the industry
- 18 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 21, 2014
As of · the IAPD feed; also filed as M•••• L••• A••••••••• L••• A••••••••• L• A••••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Nov 21, 2014 · Santa Barbara, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 26, 2007 to Nov 21, 2014 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 21, 2014, registered Nov 21, 2014 (0 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address