DFX Intelligence
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L••• G••••••
Certified Financial Planner
As of · the IAPD feed; also filed as L••• E•••• G••••••
- At current firm
- 5 y
- In the industry
- 18 y
- Prior registered firms
- 3
- Signals
- 0
since Jun 29, 2021
As of · the IAPD feed; also filed as L••• E•••• G••••••
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••••••••• F•••••••• N•••••• national BD currentsince Jun 29, 2021 · Rochester, Ny
- C••••••••• F•••••••• N•••••• national BDApr 10, 2018 to May 31, 2019 · Waltham, Ma
- C••••••••• F•••••••• N•••••• national BDMar 14, 2011 to Jul 5, 2016 · Waltham, Ma
- L•• F•••••••• L•• BD affiliatedMay 19, 2008 to Nov 24, 2008 · Westwood, Ma
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Nov 24, 2008, registered Mar 14, 2011 (840 days) · Other
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address