DFX Intelligence
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Registered advisor
C••••••••• M•••• B••••
Feed of 09/14/2026
Also filed as C•••• B••••••••• M••••••••• M• B••••••••• M• B••••
At current firm
10 y
since Jan 18, 2016
In the industry
33 y
since Feb 3, 1993 (earliest exam, job or registration)
Prior registered firms
4
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 18, 2016 · Plano, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDDec 18, 2015 to Dec 18, 2015 · Richardson, Tx
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 15, 2010 to Dec 28, 2015 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 1, 2006 to Dec 23, 2010 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 7, 1994 to Sep 12, 2006 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 28, 2015, registered Jan 18, 2016 (21 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 23, 2010, registered Dec 15, 2010 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 12, 2006, registered Sep 1, 2006 (-11 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address