DFX Intelligence
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N••••• M•••• R•••••••
As of · the IAPD feed; also filed as N••••• M•••• G••••••••
- At current firm
- 4 y
- In the industry
- 17 y
- Prior registered firms
- 1
- Signals
- 0
since Sep 19, 2022
As of · the IAPD feed; also filed as N••••• M•••• G••••••••
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 Sep 19, 2022 · Cape Coral, Fl
- B••• S••••••••• L•• formerAug 30, 2018 to Feb 17, 2021 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Sep 19, 2022 (579 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address