DFX Intelligence
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S•••••• L••• R•••••••
As of · the IAPD feed; also filed as S•••••• L••• S••••••••• L• R•••••••
- At current firm
- 9 y
- In the industry
- 18 y
- Prior registered firms
- 2
- Signals
- 0
since Sep 27, 2016
As of · the IAPD feed; also filed as S•••••• L••• S••••••••• L• R•••••••
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 27, 2016 · Richmond, Va
- L•• F•••••••• L•• BD affiliatedJul 17, 2009 to Nov 27, 2012 · Newport News, Va
- M••• I••••••••• M••••••••• L•• unclassifiedMay 5, 2008 to Feb 17, 2009 · Newport News, Va
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to T••••• A••••••• S•••••••• I•••left Nov 27, 2012, registered Sep 27, 2016 (1400 days) · Other
- M••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Feb 17, 2009, registered Jul 17, 2009 (150 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address