DFX Intelligence
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P••••• A••••• K••••••
Certified Financial Planner
As of · the IAPD feed; also filed as P••••• A••••• K••••••
- At current firm
- 16 y
- In the industry
- 27 y
- Prior registered firms
- 3
- Signals
- 0
since Nov 16, 2009
As of · the IAPD feed; also filed as P••••• A••••• K••••••
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•••••• S••••• • C••• I••• national BD currentsince Nov 16, 2009 · Westlake, Tx
- C••••••• A•••• M••••••••• I•• unclassifiedApr 24, 2009 to Oct 29, 2009 · Dallas, Tx
- S•••••••• A••••••• L•• national BDJun 23, 2008 to Feb 25, 2009 · Westlake, Tx
- S•••••••• A••••••• L•• national BDJul 23, 2001 to Nov 7, 2005 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- C••••••• A•••• M••••••••• I•• to C•••••• S••••• • C••• I•••left Oct 29, 2009, registered Nov 16, 2009 (18 days) · Other
- S•••••••• A••••••• L•• to C••••••• A•••• M••••••••• I••left Feb 25, 2009, registered Apr 24, 2009 (58 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