DFX Intelligence
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Feed of 09/14/2026
Also filed as S•••• W•••••• A••••••••• A•••••••
At current firm
5 y
since Jun 16, 2021
In the industry
23 y
since Apr 3, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M••••• S•••••• wirehouse currentsince Jun 16, 2021 · Melville, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 29, 2016 to Sep 11, 2020 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 28, 2010 to Apr 5, 2016 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Sep 11, 2020, registered Jun 16, 2021 (278 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Apr 5, 2016, registered Apr 29, 2016 (24 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address