DFX Intelligence
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J•••••• A• H•••••••••
As of · the IAPD feed; also filed as J•••••• A•••• H•••••••••
- At current firm
- 8 y
- In the industry
- 21 y
- Prior registered firms
- 3
- Signals
- 1
since Aug 10, 2018
As of · the IAPD feed; also filed as J•••••• A•••• H•••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 10, 2018 · West Hartford, Ct
- T• A••••••••• I••• formerSep 1, 2022 to Oct 14, 2022 · Stamford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 26, 2009 to Jun 4, 2009 · Great Neck, Ny
- T• A••••••••• I••• formerMar 26, 2009 to Jun 4, 2009 · Manhasset, Ny
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jun 4, 2009, registered Aug 10, 2018 (3354 days) · Other
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Jun 4, 2009, registered Aug 10, 2018 (3354 days) · Other
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address