DFX Intelligence
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Feed of 09/14/2026
Also filed as T••• J••••• C••••••••• J••••• C••••••••• J••••• C••••••••• J• C••••••••• J• C•••••
At current firm
3 y
since Jun 16, 2023
In the industry
41 y
since May 14, 1985 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jun 16, 2023 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 5, 2007 to Jun 20, 2023 · Montvale, Nj
- A• G• E•••••• • S•••• I••• unclassifiedOct 14, 2003 to Oct 11, 2007 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 20, 2023, registered Jun 16, 2023 (-4 days) · Wirehouse to wirehouse · moved with a team
- A• G• E•••••• • S•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 11, 2007, registered Oct 5, 2007 (-6 days) · Other
Signals
- ••• LockedJun 20, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address