DFX Intelligence
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Registered advisor
S••••• M••• M•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S••••• M••• L••••••••• M• M•••••
At current firm
5 y
since Feb 1, 2021
In the industry
26 y
since Jun 6, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 1, 2021 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJul 25, 2011 to May 9, 2019 · Weehawken, Nj
- J••• M••••• S••••••••• L•• wirehouseSep 10, 2010 to Jul 26, 2011 · Morristown, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 28, 2010 · Short Hills, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 3, 2002 to Jun 1, 2009 · Short Hills, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left May 9, 2019, registered Feb 1, 2021 (634 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 26, 2011, registered Jul 25, 2011 (-1 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Sep 28, 2010, registered Sep 10, 2010 (-18 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address