DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
M••••• C•••••••
As of · the IAPD feed; also filed as M••••• N••••••• C•••••••
- At current firm
- 1 y
- In the industry
- 13 y
- Prior registered firms
- 1
- Signals
- 1
since Oct 17, 2024
As of · the IAPD feed; also filed as M••••• N••••••• C•••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 17, 2024 · Savannah, Ga
- E••••• J•••• national BDSep 9, 2013 to Oct 18, 2024 · Savannah, Ga
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C••••••••• F•••••••• N••••••left Oct 18, 2024, registered Oct 17, 2024 (-1 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedOct 18, 2024 · Advisor changed firm · 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, outside business text, branch street address