DFX Intelligence
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W•••••• G•••••• T•••••
As of · the IAPD feed; also filed as W•••••• T•••••
- At current firm
- 4 y
- In the industry
- 11 y
- Prior registered firms
- 1
- Signals
- 1
since Jun 7, 2022
As of · the IAPD feed; also filed as W•••••• T•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jun 7, 2022 · Williamston, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 24, 2019 to May 25, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• I•••left May 25, 2022, registered Jun 7, 2022 (13 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMay 25, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address