DFX Intelligence
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Feed of 09/14/2026
At current firm
4 y
since Sep 9, 2022
In the industry
25 y
since Feb 14, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Sep 9, 2022 · Jericho, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 14, 2013 to Sep 22, 2022 · Massapequa Park, Ny
- H••• S••••••••• •••• I••• BD affiliatedFeb 27, 2008 to Mar 18, 2013 · Melville, Ny
- C•••• I••••••••• S••••••• C•••• formerJan 29, 2008 to Feb 14, 2008 · Hempstead, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Sep 22, 2022, registered Sep 9, 2022 (-13 days) · Affiliated broker-dealer or bank to wirehouse
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Mar 18, 2013, registered Mar 14, 2013 (-4 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Feb 14, 2008, registered Feb 27, 2008 (13 days) · Other
Signals
- ••• LockedSep 22, 2022 · Advisor changed firm · fact
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