DFX Intelligence
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Registered advisor
B•••• J••••• W••••
Feed of 09/15/2026
At current firm
5 y
since Jun 14, 2021
In the industry
29 y
since Sep 27, 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•• I•••••••• S•••••••• L•• BD affiliated currentsince Jun 14, 2021 · New York, Ny
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 21, 2007 to Oct 17, 2007 · New York, Ny
- R••• B••• • C•• unclassifiedJul 30, 2007 to Aug 21, 2007 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to M•• I•••••••• S•••••••• L••left Oct 17, 2007, registered Jun 14, 2021 (4989 days) · Affiliated broker-dealer or bank to another
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Aug 21, 2007, registered Aug 21, 2007 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address