DFX Intelligence
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R••• L•• B•••••
As of · the IAPD feed
- At current firm
- 2 y
- In the industry
- 32 y
- Prior registered firms
- 3
- Signals
- 1
since Nov 3, 2023
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Nov 3, 2023 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 21, 2013 to Dec 1, 2023 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 9, 2013 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 2, 2001 to Jun 1, 2009 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Dec 1, 2023, registered Nov 3, 2023 (-28 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Apr 9, 2013, registered Mar 21, 2013 (-19 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedDec 1, 2023 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address