DFX Intelligence
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B•••• W•••• H•••••
As of · the IAPD feed
- At current firm
- 10 y
- In the industry
- 31 y
- Prior registered firms
- 1
- Signals
- 0
since Oct 7, 2015
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Oct 7, 2015 · Lone Tree, Co
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Oct 7, 2015 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Oct 7, 2015, registered Oct 7, 2015 (0 days) · channel change inside one enterprise, 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