DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
V•••••• C••• F•••••
Certified Financial Planner
As of · the IAPD feed; also filed as V•••• F•••••
- At current firm
- 5 y
- In the industry
- 26 y
- Prior registered firms
- 3
- Signals
- 0
since Apr 26, 2021
As of · the IAPD feed; also filed as V•••• F•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 26, 2021 · Southington, Ct
- W•••• F•••• A••••••• wirehouseMar 27, 2009 to Apr 23, 2021 · Melville, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Mar 31, 2009 · Bristol, Ct
- Q•••• • R•••••• I••• unclassifiedNov 14, 2002 to Oct 20, 2004 · Bristol, Ct
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Apr 23, 2021, registered Apr 26, 2021 (3 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Mar 31, 2009, registered Mar 27, 2009 (-4 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (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