DFX Intelligence
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Registered advisor
N••••••• L••• B••••••
Feed of 09/14/2026
Also filed as N••••••• L••• B••••••••• B••••••
At current firm
3 y
since Jul 24, 2023
In the industry
20 y
since Sep 23, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 24, 2023 · Ponte Vedra Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 19, 2018 to Jul 24, 2023 · Great Neck, Ny
- E•••••••• A•••••••• L•• national BDFeb 18, 2016 to Jan 11, 2018 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jul 24, 2023, registered Jul 24, 2023 (0 days) · Wirehouse to wirehouse
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 11, 2018, registered Jan 19, 2018 (8 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJul 24, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address