DFX Intelligence
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D•••••• W••••• C••••
As of · the IAPD feed; also filed as D•••••• W••••• C••••••••• W• C••••
- At current firm
- 7 y
- In the industry
- 16 y
- Prior registered firms
- 1
- Signals
- 0
since Jul 8, 2019
As of · the IAPD feed; also filed as D•••••• W••••• C••••••••• W• C••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 8, 2019 · Greensburg, Pa
- P•••• S••••••••• L•• no RAUMJan 5, 2016 to Jul 9, 2019 · Latrobe, Pa
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 9, 2019, registered Jul 8, 2019 (-1 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