DFX Intelligence
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M•••••• D•••••• I••••
As of · the IAPD feed; also filed as M•••••• I••••
- At current firm
- 7 y
- In the industry
- 13 y
- Prior registered firms
- 1
- Signals
- 0
since May 16, 2019
As of · the IAPD feed; also filed as M•••••• I••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince May 16, 2019 · Oakland, Ca
- E•••••••• A•••••••• L•• national BDDec 11, 2017 to May 7, 2019 · Concord, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left May 7, 2019, registered May 16, 2019 (9 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address