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P•••• G••••• C•••••••••
Registered advisorat A••••••••• F•••••••• S•••••••• L••Dual registrant· Newport Beach, Ca IAPD 2701619
As of · the IAPD feed; also filed as P•••• G• C•••••••••
- At current firm
- 16 y
- In the industry
- 30 y
- Prior registered firms
- 2
- Signals
- 0
since Oct 5, 2009
As of · the IAPD feed; also filed as P•••• G• C•••••••••
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2009 · Newport Beach, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 4, 2009 to Oct 5, 2009 · Irvine, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 2, 2001 to Jun 4, 2009 · Brea, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Jun 4, 2009, registered Jun 4, 2009 (0 days) · Other
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