DFX Intelligence
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J•••• D•••••• E••••
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 11 y
- Prior registered firms
- 1
- Signals
- 1
since Mar 2, 2022
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 2, 2022 · West Hartford, Ct
- F•••••••• P••••••• S••••• I••• unclassifiedFeb 13, 2018 to Aug 16, 2022 · Wethersfield, Ct
Moves
a registration end followed by a registration begin elsewhere
- F•••••••• P••••••• S••••• I••• to C••••••••• F•••••••• N••••••left Aug 16, 2022, registered Mar 2, 2022 (-167 days) · Other
Signals
- ••• LockedAug 16, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address