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
M•••••• F•••••••
Feed of 09/14/2026
At current firm
12 y
since Jul 24, 2014
In the industry
27 y
since Mar 17, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 24, 2014 · Bedminster, Nj
- U•• F•••••••• S••••••• I••• wirehouseJul 13, 2007 to Jul 28, 2014 · Warren, Nj
- P•• W••••• M••••••••• BD affiliatedMar 22, 2004 to Jul 25, 2007 · Bridgewater, Nj
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedOct 16, 2002 to Mar 29, 2004 · Bridgewater, Nj
- C••••• A•••••• N••••••• L•• formerJul 31, 2002 to Oct 22, 2002 · Bridgewater, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 28, 2014, registered Jul 24, 2014 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to U•• F•••••••• S••••••• I•••left Jul 25, 2007, registered Jul 13, 2007 (-12 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to P•• W••••• M•••••••••left Mar 29, 2004, registered Mar 22, 2004 (-7 days) · Other
- C••••• A•••••• N••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Oct 22, 2002, registered Oct 16, 2002 (-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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address