DFX Intelligence
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T••• H••••• H••••••
As of · the IAPD feed
- At current firm
- 12 y
- In the industry
- 13 y
- Prior registered firms
- 1
- Signals
- 0
since Sep 26, 2013
As of · the IAPD feed
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 Sep 26, 2013 · Puyallup, Wa
- E••••• J•••• national BDApr 8, 2013 to Aug 14, 2013 · Puyallup, Wa
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to E•••••••• A•••••••• L••left Aug 14, 2013, registered Sep 26, 2013 (43 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address