DFX Intelligence
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Registered advisor
A••• M••••••• A•••••••
Feed of 09/14/2026
At current firm
9 y
since May 22, 2017
In the industry
34 y
since Mar 26, 1992 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince May 22, 2017 · Lake Oswego, Or
- R•• C•••••• M••••••• L•• national BDJul 27, 2005 to Jun 6, 2017 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M••••• S••••••left Jun 6, 2017, registered May 22, 2017 (-15 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address