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N•••••• H•••••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Rogers, MnIAPD 2578856
As of · the IAPD feed; also filed as N•••••• S•••••• H••••••••• S• H••••••••• S•••••• H•••••••
- At current firm
- 6 y
- In the industry
- 31 y
- Prior registered firms
- 1
- Signals
- 0
since Oct 4, 2019
As of · the IAPD feed; also filed as N•••••• S•••••• H••••••••• S• H••••••••• S•••••• H•••••••
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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 4, 2019 · Rogers, Mn
- F•• S••••••••• C••••••••• formerDec 19, 2013 to Oct 10, 2019 · Rogers, Mn
Moves
a registration end followed by a registration begin elsewhere
- F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 10, 2019, registered Oct 4, 2019 (-6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address