DFX Intelligence
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Y•••••• S•••••••
As of · the IAPD feed; also filed as Y•••••• F••••••••• O••••••
- At current firm
- 7 y
- In the industry
- 19 y
- Prior registered firms
- 1
- Signals
- 0
since Mar 8, 2019
As of · the IAPD feed; also filed as Y•••••• F••••••••• O••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Mar 8, 2019 · Orlando, Fl
- J••• M••••• S••••••••• L•• wirehouseMar 16, 2015 to Mar 8, 2019 · Kissimmee, Fl
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Mar 8, 2019, registered Mar 8, 2019 (0 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
- 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