DFX Intelligence
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E••• P•••• D•••••••••
Certified Financial Planner
As of · the IAPD feed; also filed as E••• D•••••••••
- At current firm
- 7 y
- In the industry
- 18 y
- Prior registered firms
- 2
- Signals
- 0
since Jan 15, 2019
As of · the IAPD feed; also filed as E••• D•••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 15, 2019 · Ventura, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jan 17, 2019 · Ventura, Ca
- M•• F•••••••• S•••••••• I••• formerMar 26, 2009 to Mar 25, 2017 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Jan 17, 2019, registered Jan 15, 2019 (-2 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address