DFX Intelligence
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M•••••• J••••• G•••••••
Certified Financial Planner
As of · the IAPD feed; also filed as G••••••• J••••• M••••••
- At current firm
- 9 y
- In the industry
- 19 y
- Prior registered firms
- 2
- Signals
- 0
since Jun 2, 2017
As of · the IAPD feed; also filed as G••••••• J••••• M••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 2, 2017 · Greenwood Village, Co
- U•• F•••••••• S••••••• I••• wirehouseOct 22, 2013 to Jun 13, 2017 · Denver, Co
- L•• F•••••••• L•• BD affiliatedDec 8, 2006 to Dec 16, 2013 · Aurora, Co
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to C••••••••• F•••••••• N••••••left Jun 13, 2017, registered Jun 2, 2017 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Dec 16, 2013, registered Oct 22, 2013 (-55 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address