DFX Intelligence
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C••••• J••• H•••••••
As of · the IAPD feed; also filed as C••••• H•••••••
- At current firm
- 4 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since Feb 8, 2022
As of · the IAPD feed; also filed as C••••• H•••••••
State registrations
2
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 Feb 8, 2022 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseDec 7, 2021 to Jan 21, 2022 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Jan 21, 2022, registered Feb 8, 2022 (18 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJan 21, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address