DFX Intelligence
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Registered advisor
A•••••••• N••• V•••••
Feed of 09/14/2026
At current firm
9 y
since Sep 7, 2017
In the industry
18 y
since Oct 8, 2007 (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
- L•• F•••••••• L•• BD affiliated currentsince Sep 7, 2017 · Little Rock, Ar
- W•••• F•••• A••••••• wirehouseJun 17, 2016 to Aug 29, 2017 · Little Rock, Ar
- U••• B•••••• I••••••••• I••• formerMar 22, 2011 to Jun 20, 2016 · Little Rock, Ar
- E••••• J•••• national BDApr 27, 2009 to Mar 23, 2011 · St Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 9, 2007 to Apr 24, 2009 · Little Rock, Ar
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Aug 29, 2017, registered Sep 7, 2017 (9 days) · Other
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Jun 20, 2016, registered Jun 17, 2016 (-3 days) · Other
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Mar 23, 2011, registered Mar 22, 2011 (-1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Apr 24, 2009, registered Apr 27, 2009 (3 days) · Wirehouse to affiliated broker-dealer or bank
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address