DFX Intelligence
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A•••••••• J••• S••••••••
As of · the IAPD feed; also filed as A•••••••• J• S••••••••
- At current firm
- 7 y
- In the industry
- 30 y
- Prior registered firms
- 3
- Signals
- 0
since Mar 13, 2019
As of · the IAPD feed; also filed as A•••••••• J• S••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• BD affiliated currentsince Mar 13, 2019 · Dawsonville, Ga
- A••••• A•• P••••••• S••••••• BD affiliatedJun 17, 2016 to Feb 19, 2019 · Charlotte, Nc
- P•• W••••• M••••••••• bank affiliatedNov 13, 2009 to Feb 23, 2016 · Urbana, Il
- N•••••• I••••••••• I••• unclassifiedOct 2, 2008 to Nov 13, 2009 · Springfield, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to E•••••••• A•••••••• L••left Feb 19, 2019, registered Mar 13, 2019 (22 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left Feb 23, 2016, registered Jun 17, 2016 (115 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- 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