DFX Intelligence
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D•••• M•••••• H••••••
As of · the IAPD feed; also filed as D•••• M• H••••••
- At current firm
- 4 y
- In the industry
- 22 y
- Prior registered firms
- 3
- Signals
- 0
since Jan 26, 2022
As of · the IAPD feed; also filed as D•••• M• H••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Huntington Station, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 11, 2019 to Sep 7, 2023 · Garden City, Ny
- T• A••••••••• I••• formerApr 11, 2019 to Oct 14, 2022 · Garden City, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 1, 2013 to Apr 3, 2019 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Apr 11, 2019 (-1282 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Apr 3, 2019, registered Apr 11, 2019 (8 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address