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
M••• J••••• Z••••••
Feed of 09/15/2026
At current firm
10 y
since Jan 4, 2016
In the industry
33 y
since Nov 20, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 4, 2016 · Dunmore, Pa
- O•••• I••••••••• I••• BD affiliatedAug 23, 2011 to Dec 31, 2015 · Scranton, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 30, 2009 to Aug 29, 2011 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- O•••• I••••••••• I••• to L•• F•••••••• L••left Dec 31, 2015, registered Jan 4, 2016 (4 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to O•••• I••••••••• I•••left Aug 29, 2011, registered Aug 23, 2011 (-6 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address