DFX Intelligence
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B•••• K•••••• E••••••
Certified Financial Planner · Chartered Financial Consultant
As of · the IAPD feed
- At current firm
- 8 y
- In the industry
- 28 y
- Prior registered firms
- 1
- Signals
- 0
since Sep 13, 2018
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 13, 2018 · Capistrano Beach, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 25, 2006 to Sep 14, 2018 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to C••••••••• F•••••••• N••••••left Sep 14, 2018, registered Sep 13, 2018 (-1 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address