DFX Intelligence
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Registered advisor
M••• B••• B••••
Feed of 09/14/2026
Also filed as M••••••• C••••••••• B••••••••• B••• B••••
At current firm
4 y
since Jun 7, 2022
In the industry
29 y
since Jul 8, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 7, 2022 · Highlands, Nc
- E••••• J•••• national BDAug 20, 2012 to Jul 27, 2021 · Highlands, Nc
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Aug 20, 2012 · Highlands, Nc
- A• G• E•••••• • S•••• I••• unclassifiedOct 4, 2005 to Jan 1, 2008 · Highlands, Nc
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Jul 27, 2021, registered Jun 7, 2022 (315 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to E••••• J••••left Aug 20, 2012, registered Aug 20, 2012 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address