DFX Intelligence
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J••• P••• M•••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Carrollton, GaIAPD 5280398
As of · the IAPD feed; also filed as J••• M••••••••• P••• M•••••
- At current firm
- 7 y
- In the industry
- 19 y
- Prior registered firms
- 1
- Signals
- 0
since Jul 9, 2019
As of · the IAPD feed; also filed as J••• M••••••••• P••• 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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 9, 2019 · Carrollton, Ga
- E••••• J•••• national BDApr 10, 2007 to Jul 8, 2019 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 8, 2019, registered Jul 9, 2019 (1 day) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote