DFX Intelligence
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Registered advisor
D•• S• W•••••
Feed of 09/14/2026
Also filed as D•• W••••• A••••••••• S•••• A••••••••• S•••• W••••••••• A••••• W••••••••• A••••• W••••• W•••••••• W••••• W•••••••• W•••••
At current firm
3 y
since Sep 1, 2023
In the industry
43 y
since May 19, 1983 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Jericho, Ny
- S•••••••• F••••••••• I••• formerJan 10, 2022 to Sep 1, 2023 · Syracuse, Ny
- O•••• W•••••• I••• BD affiliatedOct 16, 2019 to Jan 7, 2022 · Garden City, Ny
- W•••• F•••• A••••••• wirehouseAug 13, 2015 to Oct 14, 2019 · Garden City, Ny
- O•••• W•••••• I••• BD affiliatedJun 22, 2015 to Aug 14, 2015 · Garden City, Ny
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- O•••• W•••••• I••• to S•••••••• F••••••••• I•••left Jan 7, 2022, registered Jan 10, 2022 (3 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to O•••• W•••••• I•••left Oct 14, 2019, registered Oct 16, 2019 (2 days) · Wirehouse to affiliated broker-dealer or bank
- O•••• W•••••• I••• to W•••• F•••• A•••••••left Aug 14, 2015, registered Aug 13, 2015 (-1 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address