DFX Intelligence
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Feed of 09/14/2026
Also filed as G••• A••• M••••
At current firm
0 y
since Apr 30, 2026
In the industry
30 y
since Dec 18, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Apr 30, 2026 · St. Louis, Mo
- E••••• J•••• national BDJul 11, 2017 to Feb 28, 2022 · St. Augustine, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 2014 to Jun 12, 2017 · Jacksonville, Fl
- S•••••••• A••••••• L•• national BDJan 14, 2003 to Aug 10, 2005 · Blue Ash, Oh
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jun 12, 2017, registered Jul 11, 2017 (29 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 10, 2005, registered Jul 8, 2014 (3254 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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