DFX Intelligence
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Registered advisor
E••••• T••• M•••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as M••••• E•••••••• M•••••
At current firm
5 y
since Feb 4, 2021
In the industry
35 y
since Oct 26, 1990 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 4, 2021 · Whittier, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 21, 2014 to Apr 6, 2015 · Toledo, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 9, 2012 to Aug 12, 2013 · Mansfield, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 18, 2009 to Mar 2, 2012 · Toledo, Oh
- O•••• F•• I••• formerAug 26, 2008 to May 29, 2009 · Toledo, Oh
- L•• F•••••••• L•• BD affiliatedMar 23, 2007 to Aug 29, 2008 · Santa Ana, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 7, 2003 to Mar 26, 2007 · Newport Beach, Ca
- O•••• F•• I••• formerJul 1, 2002 to Aug 12, 2003 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Aug 12, 2013, registered Mar 21, 2014 (221 days) · Other
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 2, 2012, registered Oct 9, 2012 (221 days) · Other
- O•••• F•• I••• to M•• I•••••••• S•••••••• L••left May 29, 2009, registered Jun 18, 2009 (20 days) · Other
- L•• F•••••••• L•• to O•••• F•• I•••left Aug 29, 2008, registered Aug 26, 2008 (-3 days) · Other
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Mar 26, 2007, registered Mar 23, 2007 (-3 days) · Other
- O•••• F•• I••• to M•• I•••••••• S•••••••• L••left Aug 12, 2003, registered Aug 7, 2003 (-5 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address