DFX Intelligence
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Registered advisor
P••• A••••• H••••••
Feed of 09/14/2026
At current firm
19 y
since Apr 30, 2007
In the industry
41 y
since Aug 8, 1985 (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
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 30, 2007 · Clayton, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 26, 2002 to Jan 31, 2007 · Clayton, Mo
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 31, 2007, registered Apr 30, 2007 (89 days) · Wirehouse to affiliated broker-dealer or bank
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address