DFX Intelligence
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Registered advisor
S•••••• E••••• S••••••
Feed of 09/15/2026
At current firm
5 y
since Mar 16, 2021
In the industry
34 y
since Mar 4, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
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
- R•• C•••••• M••••••• L•• national BD currentsince Mar 16, 2021 · Washington, Dc
- R•••••• J•••• • A••••••••• I••• national BDSep 24, 2018 to Mar 12, 2021 · Charleston, Sc
- R•• C•••••• M••••••• L•• national BDMay 6, 2013 to Sep 26, 2018 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to R•• C•••••• M••••••• L••left Mar 12, 2021, registered Mar 16, 2021 (4 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to R•••••• J•••• • A••••••••• I•••left Sep 26, 2018, registered Sep 24, 2018 (-2 days) · Affiliated broker-dealer or bank to another
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address