DFX Intelligence
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Registered advisor
M•••••• L••••••• F••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
23 y
since Feb 18, 2003
In the industry
29 y
since Oct 11, 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
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 Feb 18, 2003 · Southport, Ct
- M•• F•••••••• S•••••••• I••• formerJan 13, 2003 to Jan 27, 2003 · New Rork, Ny
- I••••• F•••••••• C••••••••• formerSep 27, 2002 to Jan 13, 2003 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 27, 2003, registered Feb 18, 2003 (22 days) · Other
- I••••• F•••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 13, 2003, registered Jan 13, 2003 (0 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