DFX Intelligence
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Feed of 09/15/2026
At current firm
17 y
since Jan 15, 2009
In the industry
21 y
since Dec 17, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- S•• BD affiliated currentsince Jan 15, 2009 · Rutherford, Nj
- O•••• W•••••• I••• BD affiliatedJan 29, 2008 to Sep 19, 2008 · Holmdel, Nj
- R•••••• J•••• • A••••••••• I••• national BDJan 11, 2007 to Mar 27, 2007 · St. Petersburg, Fl
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to S••left Sep 19, 2008, registered Jan 15, 2009 (118 days) · Other
- R•••••• J•••• • A••••••••• I••• to O•••• W•••••• I•••left Mar 27, 2007, registered Jan 29, 2008 (308 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address