DFX Intelligence
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M••• A• S•••••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· St. Louis, MoIAPD 6343158
As of · the IAPD feed
- At current firm
- 3 y
- In the industry
- 12 y
- Prior registered firms
- 1
- Signals
- 1
since Jan 9, 2023
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 9, 2023 · St. Louis, Mo
- P•••• S••••••••• L•• no RAUMMar 13, 2015 to Jan 18, 2023 · Swansea, Il
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jan 18, 2023, registered Jan 9, 2023 (-9 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJan 18, 2023 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address