DFX Intelligence
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R••••• D••• C••
As of · the IAPD feed
- At current firm
- 12 y
- In the industry
- 19 y
- Prior registered firms
- 2
- Signals
- 0
since Jan 3, 2014
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 3, 2014 · Plano, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jan 10, 2014 · Frisco, Tx
- A• G• E•••••• • S•••• I••• unclassifiedAug 6, 2007 to Jan 1, 2008 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 10, 2014, registered Jan 3, 2014 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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