DFX Intelligence
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B•••• R••••••• H•••••
As of · the IAPD feed; also filed as B•••• R••••••• H••••••••• R••••••• H••••••••• R••••••• H•••••
- At current firm
- 5 y
- In the industry
- 30 y
- Prior registered firms
- 4
- Signals
- 0
since Jul 28, 2021
As of · the IAPD feed; also filed as B•••• R••••••• H••••••••• R••••••• H••••••••• R••••••• H•••••
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 Jul 28, 2021 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 30, 2008 to Sep 7, 2023 · Omaha, Ne
- T• A••••••••• I••• formerJan 18, 2005 to Oct 14, 2022 · Omaha, Ne
- C•••••• S••••• • C••• I••• national BDSep 25, 2002 to Jan 24, 2005 · Overland Park, Ks
- S•••••••• A••••••• L•• national BDJul 18, 2000 to May 15, 2002 · Kansas City, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jul 28, 2021 (-771 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 30, 2008 (-5371 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Jan 24, 2005, registered Jan 18, 2005 (-6 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left May 15, 2002, registered Sep 25, 2002 (133 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