DFX Intelligence
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W••••• S•••• D•••••
As of · the IAPD feed; also filed as W••••• S• D•••••
- At current firm
- 6 y
- In the industry
- 23 y
- Prior registered firms
- 1
- Signals
- 0
since Jun 18, 2020
As of · the IAPD feed; also filed as W••••• S• D•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 18, 2020 · San Diego, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 20, 2013 to Feb 20, 2017 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to C••••••••• F•••••••• N••••••left Feb 20, 2017, registered Jun 18, 2020 (1214 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
- 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