DFX Intelligence
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E••• W•••• E•••••••
As of · the IAPD feed; also filed as E••• E•••••••• W••••
- At current firm
- 9 y
- In the industry
- 16 y
- Prior registered firms
- 2
- Signals
- 0
since Jun 26, 2017
As of · the IAPD feed; also filed as E••• E•••••••• W••••
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
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 26, 2017 · Waltham, Ma
- C••••••••• F•••••••• N•••••• national BDJan 18, 2017 to May 31, 2017 · Westborough, Ma
- C••••••••• F•••••••• N•••••• national BDMar 30, 2015 to Nov 3, 2016 · Waltham, Ma
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address