DFX Intelligence
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Registered advisor
S••• M•••••• M••••••••
Feed of 09/14/2026
At current firm
12 y
since Aug 19, 2014
In the industry
16 y
since Sep 7, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 19, 2014 · St. Louis, Mo
- E••••• J•••• national BDSep 9, 2010 to Aug 18, 2014 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 18, 2014, registered Aug 19, 2014 (1 day) · Affiliated broker-dealer or bank to another
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address