DFX Intelligence

RIA Intelligence

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D••••• T••••• R••••••

Registered advisorat C••••••••• F•••••••• N••••••Dual registrant· Prairie Du Sac, WiIAPD 6070383

Certified Financial Planner

At current firm
13 y
since Feb 21, 2013
In the industry
13 y
Prior registered firms
1
Signals
1
As of · the IAPD feed; also filed as D••••• R••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
  • S••••• L••• A•••••••• L•• unclassified
    Mar 11, 2019 to Sep 1, 2022 · Prairie Du Sac, Wi
Moves
a registration end followed by a registration begin elsewhere
  • S••••• L••• A•••••••• L•• to no registered destination
    left Sep 1, 2022 · Departure, no registered destination
Signals
  • ••• Locked
    Sep 1, 2022 · Advisor departure · fact
Transition signals

No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.

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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote