DFX Intelligence
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W•••••• L• G•••••
As of · the IAPD feed; also filed as B••• G••••••••• L••••••• G••••••••• L••••••• G•••••
- At current firm
- 10 y
- In the industry
- 12 y
- Prior registered firms
- 1
- Signals
- 0
since Aug 19, 2016
As of · the IAPD feed; also filed as B••• G••••••••• L••••••• G••••••••• L••••••• G•••••
State registrations
3
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 Aug 19, 2016 · Johns Island, Sc
- E••••• J•••• national BDJul 7, 2014 to Aug 22, 2016 · Prince Frederick, Md
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C••••••••• F•••••••• N••••••left Aug 22, 2016, registered Aug 19, 2016 (-3 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address