DFX Intelligence
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B•••• R••••• P•••••••
As of · the IAPD feed
- At current firm
- 14 y
- In the industry
- 27 y
- Prior registered firms
- 2
- Signals
- 0
since Jul 20, 2012
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 20, 2012 · Portland, Me
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 1, 2012 · Portland, Me
- C•••••••• G••••• M•••••• I••• bank affiliatedFeb 2, 2006 to Jun 1, 2009 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••••••• F•••••••• N••••••left Aug 1, 2012, registered Jul 20, 2012 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom 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