DFX Intelligence
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Registered advisor
M••• G••••• S•••••
Feed of 09/15/2026
At current firm
6 y
since May 29, 2020
In the industry
28 y
since Dec 30, 1997 (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
- W•••• F•••• A••••••• wirehouse currentsince May 29, 2020 · Rolling Hills Estates, Ca
- R•••••• J•••• • A••••••••• I••• national BDJan 23, 2008 to Jun 5, 2020 · Rolling Hills Estates, Ca
- A• G• E•••••• • S•••• I••• unclassifiedDec 10, 2001 to Jan 22, 2008 · Torrance, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Jun 5, 2020, registered May 29, 2020 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- A• G• E•••••• • S•••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 22, 2008, registered Jan 23, 2008 (1 day) · 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