DFX Intelligence
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Registered advisor
F•••••••• N•••••••• B••••
Feed of 09/15/2026
Also filed as F•••••••• N• B••••
At current firm
12 y
since Aug 15, 2014
In the industry
30 y
since Jul 26, 1996 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 15, 2014 · Dublin, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Aug 19, 2014 · Columbus, Oh
- N•••••• I••••••••• I••• unclassifiedJul 18, 2005 to Nov 13, 2009 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 9, 1999 to Oct 20, 2003 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 19, 2014, registered Aug 15, 2014 (-4 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•••••• I••••••••• I•••left Oct 20, 2003, registered Jul 18, 2005 (637 days) · Other
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