DFX Intelligence
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H••• Y• V••••• Y• H••••
As of · the IAPD feed; also filed as V••••• H••••••••• Y• V••••• H••••••••• H••••••••• H••••••••• Y• H••••
- At current firm
- 4 y
- In the industry
- 10 y
- Prior registered firms
- 4
- Signals
- 0
since Aug 12, 2022
As of · the IAPD feed; also filed as V••••• H••••••••• Y• V••••• H••••••••• H••••••••• H••••••••• Y• 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 Aug 12, 2022 · Cupertino, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 23, 2022 to Sep 7, 2023 · Cupertino, Ca
- T• A••••••••• I••• formerJun 23, 2022 to Oct 14, 2022 · Cupertino, Ca
- M••••• S•••••• wirehouseMay 28, 2021 to Nov 30, 2021 · Cupertino, Ca
- C•••••• S••••• • C••• I••• national BDNov 15, 2018 to May 19, 2021 · Cupertino, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 12, 2022 (-391 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jun 23, 2022 (-113 days) · corporate re-registration, not a move
- M••••• S•••••• to T• A••••••••• I•••left Nov 30, 2021, registered Jun 23, 2022 (205 days) · Other
- C•••••• S••••• • C••• I••• to M••••• S••••••left May 19, 2021, registered May 28, 2021 (9 days) · Affiliated broker-dealer or bank to wirehouse
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address