DFX Intelligence
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Registered advisor
A••• B••••••••
Feed of 09/15/2026
At current firm
9 y
since Oct 14, 2016
In the industry
38 y
since Aug 18, 1988 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- L•• F•••••••• L•• BD affiliated currentsince Oct 14, 2016 · Melville, Ny
- W•••• F•••• A••••••• wirehouseSep 30, 2005 to Oct 17, 2016 · Melville, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 31, 1999 to Sep 7, 2005 · Babylon, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Oct 17, 2016, registered Oct 14, 2016 (-3 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Sep 7, 2005, registered Sep 30, 2005 (23 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address