DFX Intelligence
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J•••• A••• S•••••••
As of · the IAPD feed; also filed as J•••• A••• W••••••••• A• S••••••••• A••• V••••••••• A••• W••••
- At current firm
- 3 y
- In the industry
- 28 y
- Prior registered firms
- 4
- Signals
- 0
since Sep 6, 2023
As of · the IAPD feed; also filed as J•••• A••• W••••••••• A• S••••••••• A••• V••••••••• A••• W••••
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 6, 2023 · Brentwood, Tn
- U•• F•••••••• S••••••• I••• wirehouseOct 4, 2016 to Sep 14, 2020 · Nashville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 11, 2011 to Jul 11, 2016 · Nashville, Tn
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 28, 2010 · Nashville, Tn
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 1, 2006 to Jun 1, 2009 · Nashville, Tn
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to T••••• A••••••• S•••••••• I•••left Sep 14, 2020, registered Sep 6, 2023 (1087 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jul 11, 2016, registered Oct 4, 2016 (85 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 28, 2010, registered Feb 11, 2011 (289 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address