DFX Intelligence
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Feed of 09/14/2026
At current firm
16 y
since Jul 27, 2010
In the industry
25 y
since Oct 1, 2000 (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
- M••••• S•••••• wirehouse currentsince Jul 27, 2010 · Boca Raton, Fl
- R•••••• J•••• • A••••••••• I••• national BDJul 5, 2007 to Jul 26, 2010 · Boca Raton, Fl
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to Jun 8, 2007 · Boynton Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Jul 26, 2010, registered Jul 27, 2010 (1 day) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jun 8, 2007, registered Jul 5, 2007 (27 days) · Wirehouse to affiliated broker-dealer or bank
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address