DFX Intelligence
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Registered advisor
H•••••• D••••• P•••••••••
Feed of 09/15/2026
At current firm
6 y
since Mar 27, 2020
In the industry
33 y
since Mar 1, 1993 (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
- L•• F•••••••• L•• BD affiliated currentsince Mar 27, 2020 · Myrtle Beach, Sc
- O•••• W•••••• I••• BD affiliatedMay 26, 2017 to Oct 3, 2019 · Maplewood, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDApr 21, 2015 to Jun 6, 2017 · Freehold, Nj
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Oct 3, 2019, registered Mar 27, 2020 (176 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to O•••• W•••••• I•••left Jun 6, 2017, registered May 26, 2017 (-11 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address