DFX Intelligence
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G••••• S•••••• C•••••
As of · the IAPD feed; also filed as G••••• S•••••• C••••••••• S• C•••••
- At current firm
- 12 y
- In the industry
- 31 y
- Prior registered firms
- 2
- Signals
- 0
since Feb 18, 2014
As of · the IAPD feed; also filed as G••••• S•••••• C••••••••• S• C•••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 18, 2014 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 15, 2012 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedMay 8, 2007 to Oct 1, 2008 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 15, 2012, registered Feb 18, 2014 (644 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address