DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D•• O••• M••••• B••••••••
Feed of 09/15/2026
Also filed as M••••• D•• O••• B••••••••• D•• O••• B••••••••• D•••••• B••••••••• D•• O••• B••••••••
At current firm
17 y
since Apr 9, 2009
In the industry
34 y
since Aug 13, 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
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 9, 2009 · Steilacoom, Wa
- W••• I••••••••• I••• unclassifiedJan 28, 2002 to Apr 14, 2009 · Tacoma, Wa
Moves
a registration end followed by a registration begin elsewhere
- W••• I••••••••• I••• to C••••••••• F•••••••• N••••••left Apr 14, 2009, registered Apr 9, 2009 (-5 days) · Other
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