DFX Intelligence
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C••••••••• L••• I••••••
As of · the IAPD feed; also filed as C•••• I••••••
- At current firm
- 6 y
- In the industry
- 21 y
- Prior registered firms
- 4
- Signals
- 0
since May 23, 2020
As of · the IAPD feed; also filed as C•••• I••••••
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•••••• S••••• • C••• I••• national BD currentsince May 23, 2020 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMMay 14, 2013 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerFeb 13, 2013 to May 20, 2013 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMSep 29, 2011 to Feb 15, 2013 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerNov 7, 2008 to Oct 6, 2011 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered May 23, 2020 (-1 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left May 20, 2013, registered May 14, 2013 (-6 days) · channel change inside one enterprise, not a move
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Feb 15, 2013, registered Feb 13, 2013 (-2 days) · channel change inside one enterprise, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Oct 6, 2011, registered Sep 29, 2011 (-7 days) · channel change inside one enterprise, 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