DFX Intelligence
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A••• S• S•••
As of · the IAPD feed; also filed as A••• S• S•••••••• S••••••••• S•••
- At current firm
- 5 y
- In the industry
- 22 y
- Prior registered firms
- 5
- Signals
- 0
since Nov 3, 2020
As of · the IAPD feed; also filed as A••• S• S•••••••• S••••••••• S•••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Nov 3, 2020 · Los Angeles, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedSep 21, 2016 to Nov 13, 2020 · Sherman Oaks, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 6, 2012 to Sep 19, 2016 · Burbank, Ca
- C•••• I••••••••• S••••••• C•••• formerFeb 25, 2011 to Feb 29, 2012 · Los Angeles, Ca
- N•••••• I••••••••• I••• unclassifiedJul 18, 2008 to May 22, 2009 · Springfield, Il
- P•••• S••••••••• L•• no RAUMJun 12, 2006 to Dec 10, 2007 · Naperville, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to E••••• J••••left Nov 13, 2020, registered Nov 3, 2020 (-10 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Sep 19, 2016, registered Sep 21, 2016 (2 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 29, 2012, registered Mar 6, 2012 (6 days) · Other
- N•••••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 22, 2009, registered Feb 25, 2011 (644 days) · Other
- P•••• S••••••••• L•• to N•••••• I••••••••• I•••left Dec 10, 2007, registered Jul 18, 2008 (221 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote