DFX Intelligence
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Feed of 09/14/2026
Also filed as V•••••• W••••••••• P••• W••••••••• P••• W••••
At current firm
7 y
since Dec 14, 2018
In the industry
19 y
since Nov 21, 2006 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
4
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
- M••••• S•••••• wirehouse currentsince Dec 14, 2018 · Clayton, Mo
- P•• W••••• M••••••••• BD affiliatedFeb 19, 2014 to Dec 6, 2018 · Clayton, Mo
- W•••• F•••• A••••••• wirehouseApr 16, 2012 to Feb 20, 2014 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseOct 20, 2010 to Jul 21, 2011 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseApr 23, 2008 to Feb 20, 2014 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 15, 2007 to Feb 7, 2008 · St Louis, Mo
- T• A••••••••• I••• formerMar 15, 2007 to Feb 7, 2008 · St Louis, Mo
- E••••• J•••• national BDDec 14, 2006 to Jan 23, 2007 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to M••••• S••••••left Dec 6, 2018, registered Dec 14, 2018 (8 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Feb 20, 2014, registered Feb 19, 2014 (-1 days) · Other
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Feb 20, 2014, registered Oct 20, 2010 (-1219 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 7, 2008, registered Mar 15, 2007 (-329 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to W•••• F•••• A•••••••left Feb 7, 2008, registered Apr 23, 2008 (76 days) · Other
- E••••• J•••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 23, 2007, registered Mar 15, 2007 (51 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address