DFX Intelligence
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D•••••• A••••• C••••••
As of · the IAPD feed
- At current firm
- 16 y
- In the industry
- 26 y
- Prior registered firms
- 2
- Signals
- 0
since Oct 5, 2009
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2009 · Roseville, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedMay 22, 2007 to Oct 5, 2009 · Reno, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 4, 2000 to May 23, 2007 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• A•••••• S•••••••• I•••left May 23, 2007, registered May 22, 2007 (-1 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address