DFX Intelligence
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C•••••• G•••••• C•••••••
Certified Financial Planner
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 21 y
- Prior registered firms
- 1
- Signals
- 1
since Aug 5, 2022
As of · the IAPD feed
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
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 5, 2022 · Bala Cynwyd, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 13, 2006 to Aug 10, 2022 · San Rafael, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 10, 2022, registered Aug 5, 2022 (-5 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedAug 10, 2022 · Advisor changed firm · 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