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••• A••• S••••
Feed of 09/14/2026
At current firm
12 y
since May 28, 2014
In the industry
32 y
since Sep 16, 1994 (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
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
- L•• F•••••••• L•• BD affiliated currentsince May 28, 2014 · Hermitage, Pa
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 10, 2009 to Jun 16, 2014 · Boardman, Oh
- B•••••• W••• • C••• I••• unclassifiedMar 28, 2008 to Mar 10, 2009 · Youngstown, Oh
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left Jun 16, 2014, registered May 28, 2014 (-19 days) · Other
- B•••••• W••• • C••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 10, 2009, registered Mar 10, 2009 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address