DFX Intelligence
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Registered advisor
M••••••• P••••••
Feed of 09/14/2026
At current firm
13 y
since Jun 10, 2013
In the industry
30 y
since Jun 3, 1996 (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
S65, 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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 10, 2013 · Tampa, Fl
- U•• F•••••••• S••••••• I••• wirehouseApr 23, 2012 to Jun 17, 2013 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 5, 2010 to Jan 25, 2012 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 17, 2013, registered Jun 10, 2013 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 25, 2012, registered Apr 23, 2012 (89 days) · Wirehouse to wirehouse
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address