DFX Intelligence
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Registered advisor
H••• H•••••
Feed of 09/22/2026
Also filed as H••• H• H•••••
At current firm
5 y
since Jun 28, 2021
In the industry
27 y
since Feb 13, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 28, 2021 · Bayshore, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 2, 2014 to Dec 31, 2014 · Hauppauge, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 26, 2013 · S••••Town, Ny
- C•••• I••••••••• S••••••• C•••• formerJun 4, 2010 to Oct 1, 2012 · Farmingville, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 1, 2009 to Mar 2, 2010 · Port Jefferson, Ny
- C••••••• I••••••••• S••••••• unclassifiedNov 9, 2004 to Feb 3, 2005 · Selden, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2014, registered Jun 28, 2021 (2371 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 26, 2013, registered Oct 2, 2014 (402 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••left Mar 2, 2010, registered Jun 4, 2010 (94 days) · Other
- C••••••• I••••••••• S••••••• to H••• S••••••••• •••• I•••left Feb 3, 2005, registered Oct 1, 2009 (1701 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address