DFX Intelligence
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Y•••••• T•••
As of · the IAPD feed
- At current firm
- 10 y
- In the industry
- 19 y
- Prior registered firms
- 3
- Signals
- 0
since Sep 13, 2016
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 13, 2016 · Gaithersburg, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 26, 2016 · Bethesda, Md
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 6, 2008 to Oct 23, 2009 · Washington, Dc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 29, 2006 to Dec 7, 2007 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• I•••left Apr 26, 2016, registered Sep 13, 2016 (140 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 7, 2007, registered May 6, 2008 (151 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address