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.
Feed of 09/14/2026
At current firm
17 y
since Jun 1, 2009
In the industry
28 y
since Oct 16, 1997 (earliest exam, job or registration)
Prior registered firms
3
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 Jun 1, 2009 · Geneva, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 1, 2006 to Jun 1, 2009 · Oakbrook Terrace, Il
- L•• F•••••••• L•• BD affiliatedNov 15, 2004 to Nov 16, 2004 · St Charles, Il
- M••••• S•••••• D• I••• unclassifiedMar 11, 1998 to Nov 29, 2002 · Geneva, Il
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••left Nov 16, 2004, registered Feb 1, 2006 (442 days) · Other
- M••••• S•••••• D• I••• to L•• F•••••••• L••left Nov 29, 2002, registered Nov 15, 2004 (717 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address