DFX Intelligence
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Registered advisor
P••••• J•••• M••••••••
Feed of 09/14/2026
Also filed as P••••• J• M••••••••• M••••••••
At current firm
8 y
since Nov 15, 2017
In the industry
30 y
since Nov 7, 1995 (earliest exam, job or registration)
Prior registered firms
6
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 Nov 15, 2017 · Melbourne, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 26, 2013 to Nov 17, 2017 · Rockledge, Fl
- L•• F•••••••• L•• BD affiliatedDec 8, 2009 to Jul 26, 2013 · Fort Mill, Sc
- C••• F•••••••• S•••••••• L••• formerMar 5, 2007 to Dec 8, 2009 · San Diego, Ca
- M••••• S•••••• C••••••••• unclassifiedJul 17, 2006 to Feb 8, 2007 · Melbourne, Fl
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJan 23, 2004 to Jan 27, 2006 · Suntree, Fl
- M••••• S•••••• D• I••• unclassifiedDec 13, 2002 to Dec 12, 2003 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 17, 2017, registered Nov 15, 2017 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 26, 2013, registered Jul 26, 2013 (0 days) · Other
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Dec 8, 2009, registered Dec 8, 2009 (0 days) · Other
- M••••• S•••••• C••••••••• to C••• F•••••••• S•••••••• L•••left Feb 8, 2007, registered Mar 5, 2007 (25 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to M••••• S•••••• C•••••••••left Jan 27, 2006, registered Jul 17, 2006 (171 days) · Other
- M••••• S•••••• D• I••• to L••• M•••• W••• W•••••• I•••••••••left Dec 12, 2003, registered Jan 23, 2004 (42 days) · Other
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