DFX Intelligence
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K•••••• A•••••• C••••••
As of · the IAPD feed
- At current firm
- 9 y
- In the industry
- 26 y
- Prior registered firms
- 2
- Signals
- 0
since Apr 21, 2017
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 21, 2017 · Columbus, Ga
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Apr 25, 2017 · Columbus, Ga
- A• G• E•••••• • S•••• I••• unclassifiedOct 13, 2003 to Jan 1, 2008 · Columbus, Ga
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 25, 2017, registered Apr 21, 2017 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address