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D••••• M•••• S•• H••••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Strafford, Nh IAPD 2685307
As of · the IAPD feed; also filed as D••••• M••••••••• M•••• P••••••••• M•••• P••••
- At current firm
- 17 y
- In the industry
- 26 y
- Prior registered firms
- 2
- Signals
- 0
since Sep 3, 2009
As of · the IAPD feed; also filed as D••••• M••••••••• M•••• P••••••••• M•••• P••••
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 3, 2009 · Strafford, Nh
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Sep 4, 2009 · Portsmouth, Nh
- A• G• E•••••• • S•••• I••• unclassifiedSep 8, 2005 to Jan 1, 2008 · Portsmouth, Nh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 4, 2009, registered Sep 3, 2009 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address