DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
L••• A•• S•••••••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Saint Clair, MiIAPD 5088869
As of · the IAPD feed; also filed as L••• S•••••••••
- At current firm
- 16 y
- In the industry
- 17 y
- Prior registered firms
- 1
- Signals
- 0
since Jun 3, 2010
As of · the IAPD feed; also filed as L••• S•••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 3, 2010 · Saint Clair, Mi
- W•••• F•••• A••••••• wirehouseApr 27, 2009 to Jun 4, 2010 · Port Huron, Mi
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 4, 2010, registered Jun 3, 2010 (-1 days) · Wirehouse to affiliated broker-dealer or bank
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address