DFX Intelligence
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Feed of 09/14/2026
Also filed as E••••• A• W••••••••• A• W••••••• A••• W••••••••• A• W••••••••• A• W••••
At current firm
14 y
since Nov 28, 2011
In the industry
23 y
since Aug 15, 2003 (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
- E••••• J•••• national BD currentsince Nov 28, 2011 · Lincoln, Ne
- U••• B•••••• I••••••••• I••• formerNov 8, 2011 to Nov 22, 2011 · Lincoln, Ne
- E••••• J•••• national BDAug 22, 2005 to Nov 7, 2011 · Superior, Ne
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 15, 2003 to Aug 5, 2005 · Lincoln, Ne
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to E••••• J••••left Nov 22, 2011, registered Nov 28, 2011 (6 days) · Other
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Nov 7, 2011, registered Nov 8, 2011 (1 day) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Aug 5, 2005, registered Aug 22, 2005 (17 days) · Wirehouse to affiliated broker-dealer or bank
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address