DFX Intelligence
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A•••• D•••••• H•••
As of · the IAPD feed; also filed as A•••• H•••
- At current firm
- 6 y
- In the industry
- 19 y
- Prior registered firms
- 2
- Signals
- 0
since Jun 25, 2020
As of · the IAPD feed; also filed as A•••• H•••
State registrations
3
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 Jun 25, 2020 · West Des Moines, Ia
- A••••• A•• P••••••• S••••••• BD affiliatedAug 8, 2016 to Apr 26, 2020 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJul 12, 2012 to Apr 2, 2014 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Apr 26, 2020, registered Jun 25, 2020 (60 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Apr 2, 2014, registered Aug 8, 2016 (859 days) · Other
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address