DFX Intelligence
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Feed of 09/14/2026
Also filed as A••••• S•••• F••••••••• F•••••• S••••••••• S••••••••• M••••••••• F••••••••• S•• F••••••••• F•••••• W••••••••• W••••••••• S• F••••••••• S• G••••
At current firm
16 y
since Aug 4, 2010
In the industry
38 y
since Jul 13, 1988 (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
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 Aug 4, 2010 · Lisle, Il
- R•• C•••••• M••••••• L•• national BDDec 14, 2007 to Nov 13, 2009 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseFeb 5, 2004 to Dec 13, 2007 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M••••• S••••••left Nov 13, 2009, registered Aug 4, 2010 (264 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••left Dec 13, 2007, registered Dec 14, 2007 (1 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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