DFX Intelligence
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Registered advisor
S•••••• M•••• S•••••
Feed of 09/14/2026
Also filed as S•••••• M•••• V••••••••• S•••••
At current firm
12 y
since Aug 27, 2014
In the industry
17 y
since Jan 12, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
- L•• F•••••••• L•• BD affiliated currentsince Aug 27, 2014 · Indianapolis, In
- M••••• S•••••• wirehouseNov 15, 2013 to Sep 12, 2014 · Indianapolis, In
- R•••••• J•••• • A••••••••• I••• national BDJan 13, 2009 to Nov 19, 2013 · Carmel, In
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to L•• F•••••••• L••left Sep 12, 2014, registered Aug 27, 2014 (-16 days) · Other
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Nov 19, 2013, registered Nov 15, 2013 (-4 days) · Affiliated broker-dealer or bank to wirehouse
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address