DFX Intelligence
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C•••••• L•••• T••••••
As of · the IAPD feed; also filed as C•••••• L•••• B•••••
- At current firm
- 17 y
- In the industry
- 24 y
- Prior registered firms
- 2
- Signals
- 0
since Aug 14, 2009
As of · the IAPD feed; also filed as C•••••• L•••• B•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 14, 2009 · Mobile, Al
- U•• F•••••••• S••••••• I••• wirehouseDec 19, 2007 to Aug 14, 2009 · Mobile, Al
- M••••• S•••••• • C•• L•• unclassifiedApr 18, 2007 to Oct 4, 2007 · Mobile, Al
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 14, 2009, registered Aug 14, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Oct 4, 2007, registered Dec 19, 2007 (76 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address