DFX Intelligence
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Registered advisor
C•••••• D•••• M••••••
Feed of 09/14/2026
At current firm
9 y
since Dec 6, 2016
In the industry
16 y
since Jan 1, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Dec 6, 2016 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 30, 2015 to Nov 29, 2016 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Nov 29, 2016, registered Dec 6, 2016 (7 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address