DFX Intelligence
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S••• D••••• W•••••
As of · the IAPD feed; also filed as S••• D••••• W••••••••• D• W•••••
- At current firm
- 4 y
- In the industry
- 24 y
- Prior registered firms
- 2
- Signals
- 0
since Sep 8, 2022
As of · the IAPD feed; also filed as S••• D••••• W••••••••• D• W•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 8, 2022 · Washington, Dc
- U•• F•••••••• S••••••• I••• wirehouseFeb 16, 2006 to Sep 29, 2008 · Rockville, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMar 27, 2003 to Mar 13, 2006 · Bethesda, Md
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A••••• A•• P••••••• S•••••••left Sep 29, 2008, registered Sep 8, 2022 (5092 days) · Wirehouse to affiliated broker-dealer or bank
- L••• M•••• W••• W•••••• I••••••••• to U•• F•••••••• S••••••• I•••left Mar 13, 2006, registered Feb 16, 2006 (-25 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address