DFX Intelligence
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D••• R••• H••••
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 23 y
- Prior registered firms
- 3
- Signals
- 0
since Jan 26, 2022
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Chesterfield, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 11, 2011 to Sep 7, 2023 · Chesterfield, Mo
- T• A••••••••• I••• formerOct 11, 2011 to Oct 14, 2022 · Chesterfield, Mo
- E••••• J•••• national BDNov 20, 2008 to Sep 27, 2011 · Chesterfield, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Oct 11, 2011 (-4021 days) · corporate re-registration, not a move
- E••••• J•••• to T• A••••••••• I•••left Sep 27, 2011, registered Oct 11, 2011 (14 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address