DFX Intelligence
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S••••• W•••••• E••••••
As of · the IAPD feed
- At current firm
- 22 y
- In the industry
- 28 y
- Prior registered firms
- 1
- Signals
- 0
since Apr 16, 2004
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 16, 2004 · Marina, Ca
- C•••••• S••••• • C••• I••• national BDApr 9, 1999 to May 4, 2004 · Carmel, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to C••••••••• F•••••••• N••••••left May 4, 2004, registered Apr 16, 2004 (-18 days) · Affiliated broker-dealer or bank to another
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