DFX Intelligence
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T••• O• J••••••
As of · the IAPD feed; also filed as T••• R•• O••••••••• R• J••••••
- At current firm
- 21 y
- In the industry
- 25 y
- Prior registered firms
- 1
- Signals
- 0
since Mar 16, 2005
As of · the IAPD feed; also filed as T••• R•• O••••••••• R• J••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Mar 16, 2005 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 14, 2001 to Mar 2, 2005 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Mar 2, 2005, registered Mar 16, 2005 (14 days) · Wirehouse to affiliated broker-dealer or bank
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