DFX Intelligence
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D•••• J••••• J••••••
As of · the IAPD feed; also filed as D•••• J• J••••••••• J••••••
- At current firm
- 3 y
- In the industry
- 12 y
- Prior registered firms
- 1
- Signals
- 0
since Aug 15, 2023
As of · the IAPD feed; also filed as D•••• J• J••••••••• J••••••
State registrations
2
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 15, 2023 · Bethesda, Md
- S••••• W••••• A•••••••• I••• no RAUMApr 7, 2022 to Dec 26, 2023 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Dec 26, 2023, registered Aug 15, 2023 (-133 days) · channel change inside one enterprise, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address