DFX Intelligence
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L•••••• J•••••• W•••••••
As of · the IAPD feed; also filed as L•••••• W••••••••• D••••••• J••••••••• D••••••• J••••••
- At current firm
- 3 y
- In the industry
- 25 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 25, 2022
As of · the IAPD feed; also filed as L•••••• W••••••••• D••••••• J••••••••• D••••••• J••••••
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Nov 25, 2022 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to Sep 30, 2002 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Sep 30, 2002, registered Nov 25, 2022 (7361 days) · Wirehouse to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address