DFX Intelligence
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J•••• D••••• H••••••
As of · the IAPD feed
- At current firm
- 12 y
- In the industry
- 21 y
- Prior registered firms
- 3
- Signals
- 0
since Aug 29, 2014
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 29, 2014 · Oakland, Ca
- L•• F•••••••• L•• BD affiliatedJan 10, 2008 to Sep 24, 2014 · Oakland, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Jan 15, 2008 · Phoenix, Az
- S••••••••• S••••••••• I••• unclassifiedMar 22, 2005 to Oct 31, 2005 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Sep 24, 2014, registered Aug 29, 2014 (-26 days) · Other
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jan 15, 2008, registered Jan 10, 2008 (-5 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
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