DFX Intelligence
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S•••• R••• H•••
As of · the IAPD feed
- At current firm
- 7 y
- In the industry
- 19 y
- Prior registered firms
- 3
- Signals
- 0
since Mar 12, 2019
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 Mar 12, 2019 · Dickson City, Pa
- T• A••••••••• I••• formerFeb 27, 2018 to Mar 11, 2019 · Moosic, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Mar 11, 2019 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerFeb 16, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 11, 2019, registered Mar 12, 2019 (1 day) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 11, 2019, registered Mar 12, 2019 (1 day) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address