DFX Intelligence
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Registered advisor
B•••• M••• G•••••••••
Feed of 09/14/2026
At current firm
2 y
since Jan 18, 2024
In the industry
40 y
since Aug 20, 1986 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Senior Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 18, 2024 · Morristown, Nj
- W•••• F•••• A••••••• wirehouseJun 18, 2015 to Jan 31, 2024 · Florham Park, Nj
- M••••• S•••••• wirehouseJan 15, 2010 to Jul 9, 2015 · Short Hills, Nj
- R•• C•••••• M••••••• L•• national BDOct 9, 2009 to Jan 29, 2010 · Parsippany, Nj
- J• B• H•••••• • C•• unclassifiedJul 21, 2003 to Oct 9, 2009 · Parsippany, Nj
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 31, 2024, registered Jan 18, 2024 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Jul 9, 2015, registered Jun 18, 2015 (-21 days) · Wirehouse to wirehouse
- R•• C•••••• M••••••• L•• to M••••• S••••••left Jan 29, 2010, registered Jan 15, 2010 (-14 days) · Affiliated broker-dealer or bank to wirehouse
- J• B• H•••••• • C•• to R•• C•••••• M••••••• L••left Oct 9, 2009, registered Oct 9, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJan 31, 2024 · Advisor changed firm · fact
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address