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.
A••••• J••• S•••••
As of · the IAPD feed; also filed as A••••• S••••••••• J• S•••••
- At current firm
- 8 y
- In the industry
- 19 y
- Prior registered firms
- 2
- Signals
- 0
since May 18, 2018
As of · the IAPD feed; also filed as A••••• S••••••••• J• S•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince May 18, 2018 · Mt. Pleasant, Sc
- W•••• F•••• A••••••• wirehouseNov 15, 2010 to May 22, 2018 · Summerville, Sc
- E••••• J•••• national BDOct 22, 2008 to Feb 2, 2010 · Athens, Ga
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left May 22, 2018, registered May 18, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left Feb 2, 2010, registered Nov 15, 2010 (286 days) · Affiliated broker-dealer or bank to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address