DFX Intelligence
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Feed of 09/15/2026
At current firm
2 y
since Dec 1, 2023
In the industry
29 y
since Dec 12, 1996 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Dec 1, 2023 · Rochester, Ny
- U•• F•••••••• S••••••• I••• wirehouseOct 26, 2021 to Apr 3, 2023 · Rochester, Ny
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 3, 2023, registered Dec 1, 2023 (242 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedApr 3, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address