DFX Intelligence
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S••• P••• H••••••
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 12 y
- Prior registered firms
- 2
- Signals
- 0
since Feb 4, 2022
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Feb 4, 2022 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 25, 2019 to Sep 7, 2023 · Omaha, Ne
- T• A••••••••• I••• formerJul 25, 2019 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 Feb 4, 2022 (-580 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jul 25, 2019 (-1177 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address