DFX Intelligence
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T•••••• L• L••••
As of · the IAPD feed; also filed as T•••••• L••• B••••••••• L••• L••••
- At current firm
- 4 y
- In the industry
- 21 y
- Prior registered firms
- 3
- Signals
- 0
since Jun 10, 2022
As of · the IAPD feed; also filed as T•••••• L••• B••••••••• L••• L••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jun 10, 2022 · Chestnut Hill, Ma
- T• A••••••••• I••• formerFeb 27, 2018 to Apr 14, 2021 · Centerville, Ma
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Apr 14, 2021 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJun 6, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 14, 2021, registered Jun 10, 2022 (422 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Apr 14, 2021, registered Jun 10, 2022 (422 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote