DFX Intelligence
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Registered advisor
N••••••• S•••••••••
Feed of 09/14/2026
Also filed as N••• S•••••••••
At current firm
15 y
since Nov 8, 2010
In the industry
24 y
since Oct 2, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Nov 8, 2010 · Stamford, Ct
- W•••••• • R••• formerSep 25, 2002 to Mar 18, 2004 · North Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to E•••••••• A•••••••• L••left Mar 18, 2004, registered Nov 8, 2010 (2426 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address