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D••••• S•••• G••••••
As of · the IAPD feed; also filed as S•••• G••••••
- At current firm
- 11 y
- In the industry
- 26 y
- Prior registered firms
- 4
- Signals
- 0
since Sep 3, 2015
As of · the IAPD feed; also filed as S•••• G••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 3, 2015 · Hoover, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jun 12, 2015 · Birmingham, Al
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 25, 2008 to Jan 2, 2009 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 23, 2008 · Birmingham, Al
- P••••••••• E••••• G••••• L•• unclassifiedAug 20, 2001 to Jul 1, 2003 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• F•••••••• N••••••left Jun 12, 2015, registered Sep 3, 2015 (83 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jan 23, 2008, registered Jan 25, 2008 (2 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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