DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
S••••• E••••• C••••••
As of · the IAPD feed; also filed as S••••• C••••••••• E• C••••••
- At current firm
- 6 y
- In the industry
- 17 y
- Prior registered firms
- 1
- Signals
- 0
since Jun 26, 2020
As of · the IAPD feed; also filed as S••••• C••••••••• E• C••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 26, 2020 · Wytheville, Va
- E••••• J•••• national BDOct 29, 2009 to Jun 29, 2020 · Wytheville, Va
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Jun 29, 2020, registered Jun 26, 2020 (-3 days) · Affiliated broker-dealer or bank to another
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address