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P••• M•••••• P•••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· St. Louis, MoIAPD 3121412
As of · the IAPD feed; also filed as P••• M•••••• S•••••
- At current firm
- 12 y
- In the industry
- 27 y
- Prior registered firms
- 2
- Signals
- 0
since Jan 29, 2014
As of · the IAPD feed; also filed as P••• M•••••• S•••••
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 29, 2014 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 2, 2012 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 28, 2008 to Oct 23, 2009 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 2, 2012, registered Jan 29, 2014 (576 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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