DFX Intelligence
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D•••• L•• C••••
As of · the IAPD feed; also filed as S••••••••
- At current firm
- 16 y
- In the industry
- 20 y
- Prior registered firms
- 1
- Signals
- 0
since Mar 15, 2010
As of · the IAPD feed; also filed as S••••••••
State registrations
1
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 Mar 15, 2010 · Tucson, Az
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 31, 2006 to Oct 5, 2009 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Mar 15, 2010 (161 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address