DFX Intelligence
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Registered advisor
P•••• A•••••• B•••••
Feed of 09/14/2026
Also filed as A•••••• B•••••
At current firm
4 y
since Oct 26, 2021
In the industry
28 y
since Feb 5, 1998 (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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 26, 2021 · Rochester, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Mar 3, 2008 · Long Island City, Ny
- C••••••• I••••••••• S••••••• unclassifiedDec 6, 2004 to May 29, 2007 · Long Island City, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 3, 2008, registered Oct 26, 2021 (4985 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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