DFX Intelligence
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P••• F• H•••••••
As of · the IAPD feed; also filed as P••• F•••• H•••••••
- At current firm
- 5 y
- In the industry
- 17 y
- Prior registered firms
- 2
- Signals
- 0
since Nov 16, 2020
As of · the IAPD feed; also filed as P••• F•••• H•••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 16, 2020 · Marlton, Nj
- A••••• A•• P••••••• S••••••• BD affiliatedSep 20, 2016 to Nov 13, 2020 · Philadelphia, Pa
- W•••• F•••• A••••••• wirehouseNov 24, 2009 to Sep 13, 2016 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Nov 13, 2020, registered Nov 16, 2020 (3 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Sep 13, 2016, registered Sep 20, 2016 (7 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote