DFX Intelligence
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P••• S••••••
As of · the IAPD feed; also filed as P••• J•••••••• S•••••• I•
- At current firm
- 12 y
- In the industry
- 21 y
- Prior registered firms
- 2
- Signals
- 0
since Feb 28, 2014
As of · the IAPD feed; also filed as P••• J•••••••• S•••••• I•
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 28, 2014 · Auburn, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 3, 2007 to Mar 3, 2014 · Columbus, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 24, 2006 to Aug 13, 2007 · Opelika, Al
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 3, 2014, registered Feb 28, 2014 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 13, 2007, registered Aug 3, 2007 (-10 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address