DFX Intelligence
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M•••••• J••••• E•••••••
As of · the IAPD feed; also filed as M•••••• J• E••••••••• J• E••••••••• E•••••••
- At current firm
- 3 y
- In the industry
- 18 y
- Prior registered firms
- 2
- Signals
- 0
since Feb 16, 2023
As of · the IAPD feed; also filed as M•••••• J• E••••••••• J• E••••••••• E•••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 16, 2023 · Glastonbury, Ct
- M••••• S•••••• wirehouseMar 15, 2019 to Sep 28, 2021 · Lexington, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 10, 2009 to Mar 19, 2019 · Lexington, Ky
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••••••• F•••••••• N••••••left Sep 28, 2021, registered Feb 16, 2023 (506 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 19, 2019, registered Mar 15, 2019 (-4 days) · Wirehouse 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address