DFX Intelligence
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D••••• R•• H•••••••
As of · the IAPD feed
- At current firm
- 17 y
- In the industry
- 27 y
- Prior registered firms
- 2
- Signals
- 0
since May 5, 2009
As of · the IAPD feed
State registrations
2
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 May 5, 2009 · Westerville, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 18, 2004 to May 21, 2009 · Dublin, Oh
- E••••• J•••• national BDApr 16, 2004 to Oct 20, 2004 · Delaware, Oh
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to C••••••••• F•••••••• N••••••left May 21, 2009, registered May 5, 2009 (-16 days) · Other
- E••••• J•••• to C•••••••• G••••• M•••••• I•••left Oct 20, 2004, registered Oct 18, 2004 (-2 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address