DFX Intelligence
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A••••• G•••••• S••••••
As of · the IAPD feed; also filed as A••••• S••••••
- At current firm
- 10 y
- In the industry
- 18 y
- Prior registered firms
- 2
- Signals
- 0
since Dec 4, 2015
As of · the IAPD feed; also filed as A••••• S••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 4, 2015 · Houston, Tx
- B••••••• C•••••• I••• formerJun 22, 2009 to Dec 4, 2015 · Houston, Tx
- L••••• B••••••• I••• unclassifiedAug 21, 2008 to Oct 15, 2008 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jun 22, 2009 (250 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address