DFX Intelligence
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Registered advisor
M•••••• J••• S•••••••
Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Mar 2, 2006 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Deer Park, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 14, 2022 to Mar 31, 2025 · Deer Park, Ny
- P•••• S••••••••• L•• no RAUMMay 11, 2021 to Aug 15, 2022 · Melville, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 4, 2015 · Deer Park, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 27, 2009 to Oct 1, 2012 · Commack, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 2, 2006 to Jul 3, 2007 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 15, 2022, registered Sep 14, 2022 (30 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to P•••• S••••••••• L••left Mar 4, 2015, registered May 11, 2021 (2260 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Jul 3, 2007, registered May 27, 2009 (694 days) · Other
Signals
- ••• LockedAug 15, 2022 · Advisor changed firm · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address