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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

JEFFREY DAVID DAVIES

Advisor at MOORS & CABOT, INC

POLAND, OH | PHOENIX, AZ

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Search this name across graphsid dfx:ria:a45a7a2a-1558-3fb3-cf7d-6a44cc15ec9f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 7, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MOORS & CABOT, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 19, 2004
First registration: Jul 7, 2000
Dual registered: yes, broker-dealer
Other names: JEFFREY D VLAD
IAPD individual key: 2277389

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MOORS & CABOT, INC	Bd affiliated wealth	Jun 25, 2007	n/a	yes	POLAND, OH\|PHOENIX, AZ	Current employment
MOORS & CABOT INC	n/a	Mar 16, 2006	Jun 25, 2007	no	YOUNGSTOWN, OH	Previous registration
ANALYTICAL PORTFOLIO SOLUTIONS, LLC	n/a	Sep 16, 2005	Mar 29, 2018	no	YOUNGSTOWN, OH\|YOUNGSTOWN, OH	Previous registration
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Former SEC adviser	Jul 7, 2000	Aug 16, 2005	no	YOUNGSTOWN, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ANALYTICAL PORTFOLIO SOLUTIONS, LLC	MOORS & CABOT INC	Mar 29, 2018	Mar 16, 2006	-4,396	Firm change after gap	Other
MOORS & CABOT INC	MOORS & CABOT, INC	Jun 25, 2007	Jun 25, 2007	0	Firm change	Other
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	ANALYTICAL PORTFOLIO SOLUTIONS, LLC	Aug 16, 2005	Sep 16, 2005	31	Firm change	Other

Relationships

Registered with (4)

→ MOORS & CABOT, INCRegistered adviserregistration: current employment
Jun 25, 2007 to presentfactForm ADV
→ ANALYTICAL PORTFOLIO SOLUTIONS, LLCRegistered adviserregistration: previous registration
Sep 16, 2005 to Mar 29, 2018factForm ADV
→ MOORS & CABOT INCRegistered adviserregistration: previous registration
Mar 16, 2006 to Jun 25, 2007factForm ADV
→ STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jul 7, 2000 to Aug 16, 2005factForm ADV

Dated events

No dated event names this entity yet.