DFX Intelligence
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J••••••• S•••
As of · the IAPD feed
- At current firm
- 10 y
- In the industry
- 25 y
- Prior registered firms
- 4
- Signals
- 0
since Sep 16, 2016
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 16, 2016 · Bonita Springs, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 28, 2011 to Nov 7, 2012 · Naples, Fl
- T• A••••••••• I••• formerMar 22, 2011 to Nov 7, 2012 · Naples, Fl
- W•••• F•••• A••••••• wirehouseMay 26, 2006 to Mar 15, 2011 · Naples, Fl
- M••••• S•••••• D• I••• unclassifiedSep 19, 2001 to Aug 29, 2005 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T••••• A••••••• S•••••••• I•••left Nov 7, 2012, registered Sep 16, 2016 (1409 days) · Other
- T• A••••••••• I••• to T••••• A••••••• S•••••••• I•••left Nov 7, 2012, registered Sep 16, 2016 (1409 days) · Other
- W•••• F•••• A••••••• to T• A••••••••• I•••left Mar 15, 2011, registered Mar 22, 2011 (7 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Aug 29, 2005, registered May 26, 2006 (270 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address