DFX Intelligence
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L••••• E•••••••• J••••
As of · the IAPD feed
- At current firm
- 13 y
- In the industry
- 17 y
- Prior registered firms
- 1
- Signals
- 0
since Feb 11, 2013
As of · the IAPD feed
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
- C•••••• S••••• • C••• I••• national BD currentsince Feb 11, 2013 · Orlando, Fl
- M••••• S•••••• wirehouseJul 24, 2009 to Sep 14, 2009 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Sep 14, 2009, registered Feb 11, 2013 (1246 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