DFX Intelligence
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E••••• C••••••••• J•••••
As of · the IAPD feed; also filed as E••••• J•••••
- At current firm
- 3 y
- In the industry
- 23 y
- Prior registered firms
- 2
- Signals
- 0
since Sep 15, 2023
As of · the IAPD feed; also filed as E••••• J•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Sep 15, 2023 · Midlothian, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 28, 2004 to Aug 17, 2006 · Ft. Worth, Tx
- C•••• I••••••••• S••••••• C•••• formerSep 25, 2002 to Nov 2, 2004 · Arlington, Tx
Moves
a registration end followed by a registration begin elsewhere
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Aug 17, 2006, registered Sep 15, 2023 (6238 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 2, 2004, registered Oct 28, 2004 (-5 days) · Other
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address