DFX Intelligence
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W•••••• S•••••••• T•••
As of · the IAPD feed; also filed as W•••••• S• T••••••••• T••••••••• S• T••••••••• S•••••••• T•••
- At current firm
- 3 y
- In the industry
- 14 y
- Prior registered firms
- 5
- Signals
- 1
since Mar 22, 2023
As of · the IAPD feed; also filed as W•••••• S• T••••••••• T••••••••• S• T••••••••• S•••••••• T•••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Mar 22, 2023 · Tallahassee, Fl
- W•••• F•••• A••••••• wirehouseMar 2, 2020 to Feb 28, 2023 · Orlando, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 31, 2019 to Feb 5, 2020 · Tallahassee, Fl
- J••• M••••• S••••••••• L•• wirehouseJun 30, 2014 to Apr 2, 2019 · St Johns, Fl
- W•••• F•••• A••••••• wirehouseApr 5, 2013 to May 14, 2014 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 10, 2012 to Feb 8, 2013 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Feb 28, 2023, registered Mar 22, 2023 (22 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Feb 5, 2020, registered Mar 2, 2020 (26 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left May 14, 2014, registered Jun 30, 2014 (47 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 8, 2013, registered Apr 5, 2013 (56 days) · Wirehouse to wirehouse
Signals
- ••• LockedFeb 28, 2023 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address