DFX Intelligence
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B••••••• R••• B••••••
As of · the IAPD feed; also filed as B•• B••••••••• R••• B••••••••• B••••••
- At current firm
- 6 y
- In the industry
- 28 y
- Prior registered firms
- 2
- Signals
- 0
since Mar 13, 2020
As of · the IAPD feed; also filed as B•• B••••••••• R••• B••••••••• B••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Mar 13, 2020 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 28, 2012 to Jul 25, 2018 · Charlotte, Nc
- A• G• E•••••• • S•••• I••• unclassifiedOct 22, 2004 to Aug 12, 2005 · Huntersville, Nc
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to E••••• J••••left Jul 25, 2018, registered Mar 13, 2020 (597 days) · Affiliated broker-dealer or bank to another
- A• G• E•••••• • S•••• I••• to A••••• A•• P••••••• S•••••••left Aug 12, 2005, registered Feb 28, 2012 (2391 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote