DFX Intelligence
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Registered advisor
N••••• T•••• R••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as N••••• R••••••••• R••••••••
At current firm
9 y
since May 5, 2017
In the industry
42 y
since Oct 26, 1983 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince May 5, 2017 · Montecito, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 8, 2017 · Santa Barbara, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · Santa Barbara, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left May 8, 2017, registered May 5, 2017 (-3 days) · Wirehouse to wirehouse · moved with a team
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address