DFX Intelligence
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A••••• R••••• H•••••••••
As of · the IAPD feed; also filed as A••••• R••••• M••••••••• R••••• M•••••••••
- At current firm
- 6 y
- In the industry
- 13 y
- Prior registered firms
- 2
- Signals
- 0
since Feb 26, 2020
As of · the IAPD feed; also filed as A••••• R••••• M••••••••• R••••• M•••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Feb 26, 2020 · West Hartford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 15, 2015 to Feb 11, 2020 · Hartford, Ct
- T• A••••••••• I••• formerDec 15, 2015 to Feb 11, 2020 · West Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Feb 11, 2020, registered Feb 26, 2020 (15 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Feb 11, 2020, registered Feb 26, 2020 (15 days) · channel change inside one enterprise, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address