DFX Intelligence
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Registered advisor
T••• M•••••• B•••
Feed of 09/14/2026
At current firm
2 y
since Aug 27, 2024
In the industry
31 y
since Jun 20, 1995 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Aug 27, 2024 · Youngstown, Oh
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Sep 1, 2024 · Youngstown, Oh
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Sep 1, 2023 · Youngstown, Oh
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedSep 30, 2003 to Oct 31, 2008 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Sep 1, 2024, registered Aug 27, 2024 (-5 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 1, 2024 · Advisor changed firm · fact
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address