DFX Intelligence
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C••••• G••• C••••
As of · the IAPD feed; also filed as C••••• N••••••••• G••• N••••••••• N••• N•••
- At current firm
- 3 y
- In the industry
- 24 y
- Prior registered firms
- 6
- Signals
- 1
since Nov 4, 2022
As of · the IAPD feed; also filed as C••••• N••••••••• G••• N••••••••• N••• N•••
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 4, 2022 · Naples, Fl
- E••••• J•••• national BDSep 27, 2016 to Nov 14, 2022 · Naples, Fl
- M••••• S•••••• wirehouseFeb 26, 2010 to Jun 15, 2016 · Aventura, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 2, 2009 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedDec 1, 2006 to Apr 2, 2007 · New York, Ny
All 6 prior registrationsShow fewer
- M••••• S•••••• D• I••• unclassifiedOct 16, 2003 to Jan 18, 2006 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Nov 14, 2022, registered Nov 4, 2022 (-10 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to E••••• J••••left Jun 15, 2016, registered Sep 27, 2016 (104 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedNov 14, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address