DFX Intelligence
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Registered advisor
M••• E••••• P•••
Feed of 09/15/2026
At current firm
6 y
since Aug 14, 2020
In the industry
38 y
since Oct 9, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- W•••• F•••• A••••••• wirehouse currentsince Aug 14, 2020 · Southlake, Tx
- M••••• S•••••• wirehouseMar 31, 2011 to Aug 17, 2020 · Arlington, Tx
- R•••••• J•••• • A••••••••• I••• national BDFeb 14, 2008 to Apr 11, 2011 · Fort Worth, Tx
- A• G• E•••••• • S•••• I••• unclassifiedOct 9, 2002 to Jan 11, 2008 · Arlington, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Aug 17, 2020, registered Aug 14, 2020 (-3 days) · Wirehouse to wirehouse
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Apr 11, 2011, registered Mar 31, 2011 (-11 days) · Affiliated broker-dealer or bank to wirehouse
- A• G• E•••••• • S•••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 11, 2008, registered Feb 14, 2008 (34 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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address