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
P•••• F•••••• D••••
Feed of 09/14/2026
Also filed as P•••• F•••••• D••••
At current firm
11 y
since Nov 11, 2014
In the industry
23 y
since Jul 24, 2003 (earliest exam, job or registration)
Prior registered firms
4
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 11, 2014 · Batavia, Il
- U••• B•••••• I••••••••• I••• formerDec 8, 2010 to Nov 4, 2014 · Cary, Il
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Nov 30, 2010 · South Elgin, Il
- B••• O•• S••••••••• C••••••••• unclassifiedFeb 17, 2004 to Jul 6, 2005 · Elgin, Il
- A••••••••• F•••••••• S•••••••• L•• national BDAug 12, 2003 to Feb 24, 2004 · Rosemont, Il
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to J••• M••••• S••••••••• L••left Nov 4, 2014, registered Nov 11, 2014 (7 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Nov 30, 2010, registered Dec 8, 2010 (8 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••left Feb 24, 2004, registered Feb 17, 2004 (-7 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