DFX Intelligence
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C•••• N• W•••••
As of · the IAPD feed
- At current firm
- 5 y
- In the industry
- 17 y
- Prior registered firms
- 2
- Signals
- 0
since May 25, 2021
As of · the IAPD feed
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 25, 2021 · Tonawanda, Ny
- M•• S••••••••• I••• unclassifiedJul 10, 2015 to May 1, 2019 · Buffalo, Ny
- E•••••••• A•••••••• L•• national BDApr 23, 2009 to Jun 24, 2015 · Williamsville, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•• S••••••••• I••• to A••••• A•• P••••••• S•••••••left May 1, 2019, registered May 25, 2021 (755 days) · Other
- E•••••••• A•••••••• L•• to M•• S••••••••• I•••left Jun 24, 2015, registered Jul 10, 2015 (16 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address