DFX Intelligence
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Feed of 09/14/2026
Also filed as D••••• A•••••
At current firm
15 y
since Jun 13, 2011
In the industry
38 y
since Nov 25, 1987 (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
- M••••• S•••••• wirehouse currentsince Jun 13, 2011 · Orinda, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 1, 2001 to Jun 20, 2011 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 20, 2011, registered Jun 13, 2011 (-7 days) · Wirehouse to wirehouse
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address