DFX Intelligence
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M••• D•••••• F•••••
As of · the IAPD feed; also filed as M••• D• F•••••
- At current firm
- 2 y
- In the industry
- 13 y
- Prior registered firms
- 2
- Signals
- 1
since Apr 12, 2024
As of · the IAPD feed; also filed as M••• D• F•••••
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 Apr 12, 2024 · Roseville, Ca
- L•• F•••••••• L•• BD affiliatedOct 8, 2021 to Mar 12, 2024 · Fair Oaks, Ca
- D••••• C•••••• M••••••••• G••••• I•• unclassifiedAug 17, 2020 to Sep 1, 2021 · Hermosa Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Mar 12, 2024, registered Apr 12, 2024 (31 days) · Affiliated broker-dealer or bank to another
- D••••• C•••••• M••••••••• G••••• I•• to L•• F•••••••• L••left Sep 1, 2021, registered Oct 8, 2021 (37 days) · Other
Signals
- ••• LockedMar 12, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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