DFX Intelligence
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C•••••• Y• J•••••
As of · the IAPD feed; also filed as C•••••• C•••••••• Y••••••••• Y••••••••• S••••••••• C•••••••• S••••••••
- At current firm
- 6 y
- In the industry
- 13 y
- Prior registered firms
- 1
- Signals
- 0
since Sep 16, 2020
As of · the IAPD feed; also filed as C•••••• C•••••••• Y••••••••• Y••••••••• S••••••••• C•••••••• S••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Sep 16, 2020 · Lone Tree, Co
- S••••• W••••• A•••••••• I••• no RAUMDec 4, 2018 to Sep 16, 2020 · Lone Tree, Co
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Sep 16, 2020, registered Sep 16, 2020 (0 days) · channel change inside one enterprise, not a move
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address