DFX Intelligence
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S•••••• J••••• H••••
As of · the IAPD feed
- At current firm
- 3 y
- In the industry
- 11 y
- Prior registered firms
- 2
- Signals
- 0
since Aug 14, 2023
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 14, 2023 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 10, 2022 to Sep 7, 2023 · Omaha, Ne
- T• A••••••••• I••• formerJun 10, 2022 to Oct 14, 2022 · Omaha, Ne
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 14, 2023 (-24 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jun 10, 2022 (-126 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
- 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