DFX Intelligence
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G••• L•••• J•••••
As of · the IAPD feed; also filed as G••• L•••• J••••••••• L•••• J••••••••• L•••• J••••• J•••••• L•••• J••••• J•••••••• J•••••
- At current firm
- 4 y
- In the industry
- 20 y
- Prior registered firms
- 3
- Signals
- 0
since Jan 26, 2022
As of · the IAPD feed; also filed as G••• L•••• J••••••••• L•••• J••••••••• L•••• J••••• J•••••• L•••• J••••• J•••••••• J•••••
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•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Mountain Brook, Al
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 21, 2006 to Sep 7, 2023 · Birmingham, Al
- T• A••••••••• I••• formerNov 21, 2006 to Oct 14, 2022 · Birmingham, Al
- M••••• S•••••• D• I••• unclassifiedOct 13, 2005 to Jun 7, 2006 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Nov 21, 2006 (-5806 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to T• A••••••••• I•••left Jun 7, 2006, registered Nov 21, 2006 (167 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address