DFX Intelligence
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Feed of 09/14/2026
Also filed as S•••• A••• D••••••••• D••••• B••••••••• A••• B•••••
At current firm
4 y
since Jun 17, 2022
In the industry
23 y
since Dec 9, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jun 17, 2022 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseJan 27, 2006 to Jun 6, 2022 · Birmingham, Al
- U•• F•••••••• S••••••• I••• wirehouseJan 13, 2003 to Jan 18, 2006 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Jun 6, 2022, registered Jun 17, 2022 (11 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 18, 2006, registered Jan 27, 2006 (9 days) · Wirehouse to wirehouse
Signals
- ••• LockedJun 6, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address