DFX Intelligence
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G•••• L••••••• W••••
First Vice President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Morristown, NjIAPD 2127421
As of · the IAPD feed; also filed as G•••• W••••
- At current firm
- 19 y
- In the industry
- 35 y
- Prior registered firms
- 1
- Signals
- 0
since Aug 21, 2007
As of · the IAPD feed; also filed as G•••• W••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- First Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 21, 2007 · Morristown, Nj
- R••• B••• • C•• unclassifiedJun 8, 1999 to Aug 21, 2007 · Florham Park, Nj
Moves
a registration end followed by a registration begin elsewhere
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Aug 21, 2007, registered Aug 21, 2007 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote