DFX Intelligence
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Registered advisor
C•••••• M••••••• R•••
Feed of 09/15/2026
Also filed as C•••••• J••••••••• N••••••
At current firm
4 y
since Sep 9, 2022
In the industry
28 y
since Aug 1, 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
1
dated events on this person
Registration history
IAPD current and previous registrations
- P•• W••••• M••••••••• BD affiliated currentsince Sep 9, 2022 · Wilkes Barre, Pa
- L•• F•••••••• L•• BD affiliatedJun 9, 2021 to Jan 11, 2022 · Pittsburgh, Pa
- M•• S••••••••• I••• unclassifiedJun 5, 2017 to Jun 9, 2021 · Wilkes-Barre, Pa
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Jan 11, 2022, registered Sep 9, 2022 (241 days) · Affiliated broker-dealer or bank to another
- M•• S••••••••• I••• to L•• F•••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJan 11, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address