DFX Intelligence
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Registered advisor
S••••• M••• B•••••
Feed of 09/15/2026
Also filed as S••••• M• B•••••
At current firm
2 y
since Oct 26, 2023
In the industry
33 y
since Aug 13, 1993 (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
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 Oct 26, 2023 · Glendale, Az
- L•• F•••••••• L•• BD affiliatedJun 14, 2012 to Jun 12, 2013 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 25, 1997 to Apr 2, 2008 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 12, 2013, registered Oct 26, 2023 (3788 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Apr 2, 2008, registered Jun 14, 2012 (1534 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