DFX Intelligence
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C••••••••• R•••••• C••••••
As of · the IAPD feed; also filed as C•••• C••••••
- At current firm
- 5 y
- In the industry
- 21 y
- Prior registered firms
- 1
- Signals
- 0
since Mar 4, 2021
As of · the IAPD feed; also filed as C•••• C••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• I••••••• G•••• O• W••• L••• independent RIA currentsince Mar 4, 2021 · Buffalo, Ny
- E•••••••• A•••••••• L•• national BDOct 14, 2008 to Jul 15, 2010 · Williamsville, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C•••••• I••••••• G•••• O• W••• L•••left Jul 15, 2010, registered Mar 4, 2021 (3885 days) · Affiliated broker-dealer or bank to independent RIA
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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address