DFX Intelligence
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A••••••••• M•••• J••••
As of · the IAPD feed; also filed as T••• M•••• J••••
- At current firm
- 4 y
- In the industry
- 25 y
- Prior registered firms
- 2
- Signals
- 0
since Jan 26, 2022
As of · the IAPD feed; also filed as T••• M•••• J••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 18, 2021 to Oct 20, 2022 · Southlake, Tx
- T• A••••••••• I••• formerJun 18, 2021 to Oct 14, 2022 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Oct 20, 2022, registered Jan 26, 2022 (-267 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jun 18, 2021 (-483 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address