DFX Intelligence
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Y•• H••••
As of · the IAPD feed; also filed as D••••• H••••
- At current firm
- 4 y
- In the industry
- 20 y
- Prior registered firms
- 2
- Signals
- 1
since Jan 13, 2022
As of · the IAPD feed; also filed as D••••• H••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 13, 2022 · Fremont, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 10, 2022 · Walnut Creek, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 4, 2007 to Jan 3, 2011 · Union City, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Jan 10, 2022, registered Jan 13, 2022 (3 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJan 10, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address