DFX Intelligence
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C•••••• S•••• C••••••
As of · the IAPD feed; also filed as C•••••• M•••• S••••••••• C••••••
- At current firm
- 7 y
- In the industry
- 12 y
- Prior registered firms
- 1
- Signals
- 0
since Jul 19, 2019
As of · the IAPD feed; also filed as C•••••• M•••• S••••••••• C••••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 19, 2019 · Park City, Ut
- W•••• F•••• A••••••• wirehouseMay 7, 2018 to Jul 22, 2019 · Huntsville, Al
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 22, 2019, registered Jul 19, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank
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