DFX Intelligence
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D•••• E••••• F••••
Certified Financial Planner
As of · the IAPD feed; also filed as D•••• E• F••••
- At current firm
- 16 y
- In the industry
- 32 y
- Prior registered firms
- 3
- Signals
- 0
since May 24, 2010
As of · the IAPD feed; also filed as D•••• E• F••••
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
- C••••••••• F•••••••• N•••••• national BD currentsince May 24, 2010 · West Springfield, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 21, 2010 to May 24, 2010 · Longmeadow, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 23, 2009 · Palmer, Ma
- Q•••• • R•••••• I••• unclassifiedJul 23, 2003 to Oct 20, 2004 · Westspringfield, Ma
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left May 24, 2010, registered May 24, 2010 (0 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Apr 21, 2010 (180 days) · corporate re-registration, not a move
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address