DFX Intelligence
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D•••• I•••• T••••
As of · the IAPD feed; also filed as D•••• A•• I••••••••• A•• H••••••••• H••••••••• A•• T••••••••• I•••• T••••••••• I• T••••
- At current firm
- 5 y
- In the industry
- 24 y
- Prior registered firms
- 2
- Signals
- 0
since Dec 11, 2020
As of · the IAPD feed; also filed as D•••• A•• I••••••••• A•• H••••••••• H••••••••• A•• T••••••••• I•••• T••••••••• I• T••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Dec 11, 2020 · Myrtle Beach, Sc
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Myrtle Beach, Sc
- S•••• • S••••••••• L•• formerJan 12, 2009 to Jan 2, 2013 · Myrtle Beach, Sc
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Dec 11, 2020 (-68 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
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