DFX Intelligence
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Registered advisor
M•••••• P•••••• O•••••••
Feed of 09/14/2026
Also filed as M•••••• P•••••• O••••••
At current firm
10 y
since Dec 3, 2015
In the industry
21 y
since Jan 18, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 3, 2015 · New York, Ny
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 17, 2013 to Nov 17, 2015 · Morristown, Nj
- C••••••••• W••••• • I••••••••• M••••••••• L•• unclassifiedJun 18, 2013 to May 9, 2014 · Madison, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 19, 2005 to Sep 22, 2010 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• W••••• • I••••••••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left May 9, 2014, registered Dec 17, 2013 (-143 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• W••••• • I••••••••• M••••••••• L••left Sep 22, 2010, registered Jun 18, 2013 (1000 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address