DFX Intelligence
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C•••••••• L•••• F•••
As of · the IAPD feed
- At current firm
- 18 y
- In the industry
- 18 y
- Prior registered firms
- 1
- Signals
- 0
since May 19, 2008
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince May 19, 2008 · Tucson, Az
- M••••• S•••••• • C•• L•• unclassifiedApr 15, 2008 to Apr 18, 2008 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• • C•• L•• to C••••••••• F•••••••• N••••••left Apr 18, 2008, registered May 19, 2008 (31 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