DFX Intelligence
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Z•••••• A••••• H•••••
As of · the IAPD feed; also filed as Z••• H•••••
- At current firm
- 8 y
- In the industry
- 13 y
- Prior registered firms
- 1
- Signals
- 0
since Jul 17, 2018
As of · the IAPD feed; also filed as Z••• H•••••
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 Jul 17, 2018 · Sioux Falls, Sd
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 28, 2017 to Jun 20, 2018 · Sioux Falls, Sd
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jun 20, 2018, registered Jul 17, 2018 (27 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address