DFX Intelligence
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Registered advisor
E••••• A••••• H••••
Feed of 09/14/2026
At current firm
5 y
since Jun 29, 2021
In the industry
39 y
since Aug 25, 1987 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 29, 2021 · Williamsville, Ny
- O•••• W•••••• I••• BD affiliatedOct 26, 2017 to Jun 26, 2019 · Willaimsville, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to C••••••••• F•••••••• N••••••left Jun 26, 2019, registered Jun 29, 2021 (734 days) · Affiliated broker-dealer or bank to another
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address