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Registered advisor
D•••• J••• N•••
Feed of 09/14/2026
Also filed as Dave N•••
At current firm
2 y
since Jun 14, 2024
In the industry
34 y
since Oct 29, 1991 (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
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Davenport, Fl
- S••••••••• A•••••• A•••••••• I••• formerSep 23, 2016 to Jun 14, 2024 · West Seneca, Ny
- W••• S••••• F•••••••• G••••• I•• formerApr 13, 2005 to Sep 23, 2016 · West Seneca, Ny
- U••••• S••••••••• A•••••••• I••• unclassifiedDec 4, 2003 to Oct 8, 2004 · Orchard Park, Ny
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- W••• S••••• F•••••••• G••••• I•• to S••••••••• A•••••• A•••••••• I•••left Sep 23, 2016, registered Sep 23, 2016 (0 days) · corporate re-registration, not a move
- U••••• S••••••••• A•••••••• I••• to W••• S••••• F•••••••• G••••• I••left Oct 8, 2004, registered Apr 13, 2005 (187 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address