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W••••• H•••••••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Littleton, Co IAPD 5073559
As of · the IAPD feed; also filed as W•••• H•••••••••
- At current firm
- 12 y
- In the industry
- 20 y
- Prior registered firms
- 1
- Signals
- 0
since Aug 15, 2014
As of · the IAPD feed; also filed as W•••• H•••••••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 15, 2014 · Littleton, Co
- P•••• S••••••••• L•• no RAUMMay 31, 2012 to Aug 21, 2014 · Littleton, Co
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 21, 2014, registered Aug 15, 2014 (-6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address