DFX Intelligence
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N••••• C•••••••• D••••••••
As of · the IAPD feed; also filed as N•••• D••••••••
- At current firm
- 14 y
- In the industry
- 28 y
- Prior registered firms
- 2
- Signals
- 0
since Jan 6, 2012
As of · the IAPD feed; also filed as N•••• D••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 6, 2012 · Florence, Ma
- U•• F•••••••• S••••••• I••• wirehouseJun 8, 2009 to Sep 6, 2011 · Springfield, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 31, 2005 to Nov 20, 2008 · Springfield, Ma
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to C••••••••• F•••••••• N••••••left Sep 6, 2011, registered Jan 6, 2012 (122 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 20, 2008, registered Jun 8, 2009 (200 days) · Wirehouse to wirehouse
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address