DFX Intelligence
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Registered advisor
M•••••• S•••• L••••
Feed of 09/14/2026
At current firm
9 y
since Oct 28, 2016
In the industry
30 y
since Oct 28, 1995 (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
- W•••• F•••• A••••••• wirehouse currentsince Oct 28, 2016 · Traverse City, Mi
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 16, 2009 to Nov 3, 2016 · Traverse City, Mi
- U•• F•••••••• S••••••• I••• wirehouseJan 5, 2007 to Oct 16, 2009 · Traverse City, Mi
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Nov 3, 2016, registered Oct 28, 2016 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 16, 2009, registered Oct 16, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address