DFX Intelligence
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S•••••• J••• N•••••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Rochester, MiIAPD 2570080
As of · the IAPD feed
- At current firm
- 7 y
- In the industry
- 31 y
- Prior registered firms
- 3
- Signals
- 0
since Nov 16, 2018
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 16, 2018 · Rochester, Mi
- L•• F•••••••• L•• BD affiliatedMay 28, 2010 to Nov 27, 2018 · Dearborn, Mi
- E••••• J•••• national BDAug 2, 2004 to May 3, 2010 · Dearborn, Mi
- M••••• S•••••• D• I••• unclassifiedSep 5, 2002 to Nov 4, 2003 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 27, 2018, registered Nov 16, 2018 (-11 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to L•• F•••••••• L••left May 3, 2010, registered May 28, 2010 (25 days) · Other
- M••••• S•••••• D• I••• to E••••• J••••left Nov 4, 2003, registered Aug 2, 2004 (272 days) · Other
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
- 31derivedfrom 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