DFX Intelligence
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V••••••• V•••• K•••••
As of · the IAPD feed; also filed as V•••• K•••••
- At current firm
- 19 y
- In the industry
- 22 y
- Prior registered firms
- 3
- Signals
- 0
since Aug 29, 2007
As of · the IAPD feed; also filed as V•••• K•••••
State registrations
2
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 Aug 29, 2007 · Los Altos, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 31, 2005 to Jul 19, 2007 · Millbrae, Ca
- S••••••••• S••••••••• I••• unclassifiedMar 29, 2005 to Aug 19, 2005 · San Jose, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 26, 2004 to Dec 7, 2004 · Campbell, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• I••••••••• L•• to C•••••• S••••• • C••• I•••left Jul 19, 2007, registered Aug 29, 2007 (41 days) · Other
- S••••••••• S••••••••• I••• to W•••• F•••• I••••••••• L••left Aug 19, 2005, registered Aug 31, 2005 (12 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••••• S••••••••• I•••left Dec 7, 2004, registered Mar 29, 2005 (112 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