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.
Registered advisor
D••••• B•••••
Feed of 09/14/2026
At current firm
12 y
since Oct 25, 2013
In the industry
27 y
since Jan 15, 1999 (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
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Oct 25, 2013 · Wayne, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 5, 2006 to Mar 12, 2007 · Princeton, Nj
- T• A••••••••• I••• formerFeb 17, 2005 to Mar 12, 2007 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 12, 2007, registered Oct 25, 2013 (2419 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 12, 2007, registered Oct 25, 2013 (2419 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address