DFX Intelligence
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W••• D••••
Certified Financial Planner
As of · the IAPD feed
- At current firm
- 11 y
- In the industry
- 24 y
- Prior registered firms
- 3
- Signals
- 0
since Nov 18, 2014
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
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 18, 2014 · Lake Oswego, Or
- R•• C•••••• M••••••• L•• national BDJun 4, 2009 to Nov 17, 2014 · Portland, Or
- U•• F•••••••• S••••••• I••• wirehouseNov 29, 2006 to Dec 31, 2007 · Portland, Or
- E•••••••• A•••••••• L•• national BDJun 11, 2002 to Mar 31, 2003 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to C••••••••• F•••••••• N••••••left Nov 17, 2014, registered Nov 18, 2014 (1 day) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Dec 31, 2007, registered Jun 4, 2009 (521 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to U•• F•••••••• S••••••• I•••left Mar 31, 2003, registered Nov 29, 2006 (1339 days) · Affiliated broker-dealer or bank to wirehouse
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address