DFX Intelligence
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W•••••• J• H•••••
As of · the IAPD feed; also filed as W•••••• J••• H••••••••• J••• H••••••••• J• H•••••
- At current firm
- 5 y
- In the industry
- 12 y
- Prior registered firms
- 1
- Signals
- 0
since Mar 11, 2021
As of · the IAPD feed; also filed as W•••••• J••• H••••••••• J••• H••••••••• J• 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 Mar 11, 2021 · Corona, Ca
- E••••• J•••• national BDJun 6, 2019 to Dec 17, 2019 · Yorba Linda, Ca
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C•••••• S••••• • C••• I•••left Dec 17, 2019, registered Mar 11, 2021 (450 days) · Affiliated broker-dealer or bank to another
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address