DFX Intelligence
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O••• T• H••••
As of · the IAPD feed; also filed as O••• H••••
- At current firm
- 4 y
- In the industry
- 20 y
- Prior registered firms
- 4
- Signals
- 0
since Oct 12, 2021
As of · the IAPD feed; also filed as O••• H••••
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 Oct 12, 2021 · Northbrook, Il
- A••••••••• F•••••••• S•••••••• L•• national BDJan 3, 2020 to Sep 2, 2021 · Lincolnwood, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 27, 2016 to Nov 17, 2017 · Oakbrook, Il
- W••• I••••••••• I••• unclassifiedApr 8, 2008 to Apr 28, 2008 · Deerfield, Il
- M••• S•••• • C••• L••• unclassifiedMay 8, 2006 to Jan 24, 2007 · Henderson, Nv
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Sep 2, 2021, registered Oct 12, 2021 (40 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 17, 2017, registered Jan 3, 2020 (777 days) · Other
- W••• I••••••••• I••• to C••••• I••••••••• A••••••• L••left Apr 28, 2008, registered Sep 27, 2016 (3074 days) · Other
- M••• S•••• • C••• L••• to W••• I••••••••• I•••left Jan 24, 2007, registered Apr 8, 2008 (440 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