DFX Intelligence
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Registered advisor
E••• L• M••••
Feed of 09/14/2026
Also filed as E••• L••••••• M••••
At current firm
17 y
since Aug 14, 2009
In the industry
28 y
since Aug 20, 1998 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Senior Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 14, 2009 · Chico, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 17, 2003 to Aug 14, 2009 · Chico, Ca
- M••••• S•••••• D• I••• unclassifiedApr 11, 2000 to Jan 23, 2003 · Citrus Hts, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 14, 2009, registered Aug 14, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Jan 23, 2003, registered Jan 17, 2003 (-6 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address