DFX Intelligence
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Registered advisor
M••• E•••••••• B•••
Feed of 09/15/2026
At current firm
17 y
since Apr 29, 2009
In the industry
29 y
since May 30, 1997 (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
S66, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 29, 2009 · Waukesha, Wi
- C•••• I••••••••• S••••••• C•••• formerMar 10, 2008 to Feb 19, 2009 · Milwaukee, Wi
- A••••••••• F•••••••• S•••••••• L•• national BDJul 5, 2007 to Oct 9, 2007 · Brookfield, Wi
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to A••••••••• F•••••••• S•••••••• L••left Feb 19, 2009, registered Apr 29, 2009 (69 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Oct 9, 2007, registered Mar 10, 2008 (153 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address