DFX Intelligence
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C••• A•••••••• G••••••
As of · the IAPD feed; also filed as C••• A•••••••• G••••••••• G••••••
- At current firm
- 4 y
- In the industry
- 16 y
- Prior registered firms
- 1
- Signals
- 0
since Dec 6, 2021
As of · the IAPD feed; also filed as C••• A•••••••• G••••••••• G••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Dec 6, 2021 · Oak Brook, Il
- A••••••••• F•••••••• S•••••••• L•• national BDSep 24, 2010 to Oct 29, 2021 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Oct 29, 2021, registered Dec 6, 2021 (38 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address