DFX Intelligence
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E••••• R••••••••
As of · the IAPD feed; also filed as E••••• M• R••••••••• M• R••••••••
- At current firm
- 4 y
- In the industry
- 29 y
- Prior registered firms
- 3
- Signals
- 0
since Oct 21, 2021
As of · the IAPD feed; also filed as E••••• M• R••••••••• M• R••••••••
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 21, 2021 · Phoenix, Az
- A••••• A•• P••••••• S••••••• BD affiliatedMay 10, 2013 to Nov 13, 2020 · Austin, Tx
- S•••••••• A••••••• L•• national BDJan 19, 2006 to Jun 25, 2012 · Denver, Co
- C•••••• S••••• • C••• I••• national BDJul 28, 1998 to May 11, 2005 · Peoria, Az
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Nov 13, 2020, registered Oct 21, 2021 (342 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Jun 25, 2012, registered May 10, 2013 (319 days) · Other
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left May 11, 2005, registered Jan 19, 2006 (253 days) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote