DFX Intelligence
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L••••••• N••••• H•••
As of · the IAPD feed
- At current firm
- 19 y
- In the industry
- 29 y
- Prior registered firms
- 2
- Signals
- 0
since Oct 19, 2006
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 19, 2006 · Pomfret Center, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2006 to Oct 10, 2006 · Pomfret Center, Ct
- A•••••• I••• unclassifiedApr 5, 2002 to Mar 8, 2006 · Pomfret, Ct
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left Oct 10, 2006, registered Oct 19, 2006 (9 days) · Wirehouse to affiliated broker-dealer or bank
- A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2006, registered Mar 8, 2006 (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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address