DFX Intelligence
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Registered advisor
N•••••• S•••••• A••••••••
Feed of 09/15/2026
Also filed as N•••••• S•••••• A••••••••
At current firm
13 y
since Jun 21, 2013
In the industry
25 y
since Jul 9, 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
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 21, 2013 · Schaumburg, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 11, 2013 · Geneva, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Geneva, Il
- M••••• S•••••• D• I••• unclassifiedMay 24, 2002 to Apr 2, 2007 · Geneva, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jul 11, 2013, registered Jun 21, 2013 (-20 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address