DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• E••• M•••••••
Feed of 09/14/2026
At current firm
15 y
since Jul 15, 2011
In the industry
30 y
since Jan 18, 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
- M••••• S•••••• wirehouse currentsince Jul 15, 2011 · Short Hills, Nj
- R•• C•••••• M••••••• L•• national BDOct 9, 2009 to Jul 22, 2011 · Parsippany, Nj
- J• B• H•••••• • C•• unclassifiedJun 5, 2002 to Oct 9, 2009 · Parsippany, Nj
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M••••• S••••••left Jul 22, 2011, registered Jul 15, 2011 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- J• B• H•••••• • C•• to R•• C•••••• M••••••• L••left Oct 9, 2009, registered Oct 9, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
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