DFX Intelligence
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T•••• S•••••
As of · the IAPD feed
- At current firm
- 10 y
- In the industry
- 18 y
- Prior registered firms
- 1
- Signals
- 0
since Sep 9, 2016
As of · the IAPD feed
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 9, 2016 · Washington, Dc
- W•••• F•••• A••••••• wirehouseJun 21, 2011 to Oct 2, 2012 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Oct 2, 2012, registered Sep 9, 2016 (1438 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address