DFX Intelligence
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Registered advisor
M•••••• Y• Y••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M•••••• Y••• Y••
At current firm
15 y
since Nov 1, 2010
In the industry
25 y
since Oct 6, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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••••• S•••••• wirehouse currentsince Nov 1, 2010 · Newport Beach, Ca
- H••• S••••••••• •••• I••• BD affiliatedAug 18, 2006 to Nov 10, 2010 · Walnut, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 9, 2003 to Aug 7, 2006 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to M••••• S••••••left Nov 10, 2010, registered Nov 1, 2010 (-9 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••left Aug 7, 2006, registered Aug 18, 2006 (11 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address