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.
J•••• E•••• C••••••
As of · the IAPD feed; also filed as J•••• C••••••
- At current firm
- 7 y
- In the industry
- 25 y
- Prior registered firms
- 3
- Signals
- 0
since Jul 19, 2019
As of · the IAPD feed; also filed as J•••• C••••••
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 19, 2019 · Park City, Ut
- W•••• F•••• A••••••• wirehouseMar 13, 2009 to Aug 16, 2019 · Huntsville, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 2, 2003 to Apr 2, 2009 · Huntsville, Al
- P••••••••• E••••• G••••• L•• unclassifiedMar 22, 2001 to Jun 12, 2003 · Huntsville, Al
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 16, 2019, registered Jul 19, 2019 (-28 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 2, 2009, registered Mar 13, 2009 (-20 days) · Other
- P••••••••• E••••• G••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 12, 2003, registered Jun 2, 2003 (-10 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address