DFX Intelligence
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J•••••• S•••••• J•••••••
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 15 y
- Prior registered firms
- 2
- Signals
- 0
since Jan 27, 2022
As of · the IAPD feed
State registrations
1
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 Jan 27, 2022 · Lone Tree, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 2, 2013 to Sep 7, 2023 · Omaha, Ne
- T• A••••••••• I••• formerApr 25, 2013 to Oct 14, 2022 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 27, 2022 (-588 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered May 2, 2013 (-3452 days) · corporate re-registration, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address