DFX 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•••• W••••• R•••••
Feed of 09/14/2026
Also filed as S•••• M•••• W••••••••• M• W••••••••• W• R••••••••• M• R•••••
At current firm
13 y
since May 10, 2013
In the industry
29 y
since Sep 23, 1997 (earliest exam, job or registration)
Prior registered firms
4
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
- M••••• S•••••• wirehouse currentsince May 10, 2013 · Birmingham, Al
- A••••••••• F•••••••• S•••••••• L•• national BDJun 21, 2010 to Mar 20, 2013 · Raleigh, Nc
- U•• F•••••••• S••••••• I••• wirehouseNov 10, 2008 to May 20, 2010 · Northport, Al
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 20, 2004 to Dec 20, 2006 · Birmingham, Al
- M••••• S•••••• D• I••• unclassifiedJun 26, 2002 to Jun 10, 2003 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Mar 20, 2013, registered May 10, 2013 (51 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 20, 2010, registered Jun 21, 2010 (32 days) · Wirehouse to affiliated broker-dealer or bank
- N••••••••• M••••• I••••••••• S••••••••• to U•• F•••••••• S••••••• I•••left Dec 20, 2006, registered Nov 10, 2008 (691 days) · Other
- M••••• S•••••• D• I••• to N••••••••• M••••• I••••••••• S•••••••••left Jun 10, 2003, registered Jul 20, 2004 (406 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address