DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
C••• A• D••••••••
As of · the IAPD feed
- At current firm
- 5 y
- In the industry
- 30 y
- Prior registered firms
- 1
- Signals
- 0
since Jun 29, 2021
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 29, 2021 · East Syracuse, Ny
- E•••••••• A•••••••• L•• national BDJul 31, 2002 to Dec 10, 2008 · Syracuse, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Dec 10, 2008, registered Jun 29, 2021 (4584 days) · Affiliated broker-dealer or bank to another
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address