DFX Intelligence
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D••••• M•••••• D••••••
As of · the IAPD feed; also filed as D••••• D••••••
- At current firm
- 9 y
- In the industry
- 14 y
- Prior registered firms
- 1
- Signals
- 0
since Mar 31, 2017
As of · the IAPD feed; also filed as D••••• D••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 31, 2017 · Danbury, Ct
- U•• F•••••••• S••••••• I••• wirehouseMay 28, 2012 to Mar 21, 2017 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to C••••••••• F•••••••• N••••••left Mar 21, 2017, registered Mar 31, 2017 (10 days) · Wirehouse to affiliated broker-dealer or bank
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address