DFX Intelligence
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Feed of 09/14/2026
Also filed as N••••• L•••• H•••••
At current firm
9 y
since Mar 9, 2017
In the industry
23 y
since Jan 30, 2003 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M••••• S•••••• wirehouse currentsince Mar 9, 2017 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseMay 16, 2011 to Mar 8, 2017 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Mar 8, 2017, registered Mar 9, 2017 (1 day) · Wirehouse to wirehouse · moved with a team
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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address