DFX Intelligence
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Registered advisor
M••• J•••• S••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
7 y
since Aug 15, 2019
In the industry
35 y
since Oct 3, 1990 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- L•• F•••••••• L•• BD affiliated currentsince Aug 15, 2019 · Gardena, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 10, 2016 to Aug 26, 2019 · Las Vegas, Nv
- T•• S•••• G•••• • W••••• M••••••••• S••••••••• unclassifiedJan 24, 2012 to Nov 4, 2014 · Las Vegas, Nv
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 13, 2009 to Nov 21, 2016 · El Segundo, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Feb 20, 2009 · Gardena, Ca
- S••••••••• S••••••••• I••• unclassifiedSep 2, 2005 to Oct 31, 2005 · Las Vegas, Nv
- L•• F•••••••• L•• BD affiliatedAug 19, 2005 to Sep 9, 2005 · Las Vegas, Nv
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedFeb 28, 2000 to Nov 8, 2005 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 26, 2019, registered Aug 15, 2019 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•• S•••• G•••• • W••••• M••••••••• S•••••••••left Nov 21, 2016, registered Jan 24, 2012 (-1763 days) · Other · moved with a team
- T•• S•••• G•••• • W••••• M••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 4, 2014, registered Nov 10, 2016 (737 days) · Other
- S•••••••• F••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Feb 20, 2009, registered Feb 13, 2009 (-7 days) · Other
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to L•• F•••••••• L••left Nov 8, 2005, registered Aug 19, 2005 (-81 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••••• S••••••••• I•••left Sep 9, 2005, registered Sep 2, 2005 (-7 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address