DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••••• M• B•••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseMinneapolis, Mn dual registrantIAPD 4408328
Feed of 09/14/2026
Also filed as S•••••• M• L••••••••• M• B••••••••• B•••••
At current firm
6 y
since May 6, 2020
In the industry
21 y
since Feb 1, 2005 (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
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•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 6, 2020 · Minneapolis, Mn
- R•• C•••••• M••••••• L•• national BDJan 16, 2019 to Apr 16, 2020 · St. Paul, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 12, 2006 to Jan 22, 2019 · St. Paul, Mn
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 16, 2020, registered May 6, 2020 (20 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jan 22, 2019, registered Jan 16, 2019 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address