DFX Intelligence
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S••••• S••• K••
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 22 y
- Prior registered firms
- 4
- 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
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Los Angeles, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 23, 2009 to Sep 7, 2023 · Beverly Hills, Ca
- T• A••••••••• I••• formerOct 23, 2009 to Oct 14, 2022 · Beverly Hills, Ca
- P•••••• A•••• A•••••••• I••• unclassifiedFeb 21, 2008 to Oct 19, 2009 · San Juan Capistrano, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 25, 2003 to Feb 13, 2008 · Pasadena, Ca
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 23, 2009 (-4739 days) · corporate re-registration, not a move
- P•••••• A•••• A•••••••• I••• to T• A••••••••• I•••left Oct 19, 2009, registered Oct 23, 2009 (4 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••••• A•••• A•••••••• I•••left Feb 13, 2008, registered Feb 21, 2008 (8 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address