DFX Intelligence
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E•••• B• I•••••
As of · the IAPD feed; also filed as E•••• I••••• X•
- At current firm
- 12 y
- In the industry
- 26 y
- Prior registered firms
- 1
- Signals
- 0
since Jan 23, 2014
As of · the IAPD feed; also filed as E•••• I••••• X•
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 23, 2014 · Lake Oswego, Or
- M••••• S•••••• D• I••• unclassifiedJan 2, 2003 to Aug 29, 2005 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to C•••••• S••••• • C••• I•••left Aug 29, 2005, registered Jan 23, 2014 (3069 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address