DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

A••• C••••••••

S•••••••• A••••••• L••national BDRockville Centre, Ny dual registrantIAPD 5623665

Feed of 09/15/2026

Also filed as A••• M• C••••••••• M•••••• C••••••••

At current firm

1 y

since Mar 31, 2025

In the industry

14 y

since Mar 9, 2012 (earliest exam, job or registration)

Prior registered firms

3

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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Lake Grove, Ny

F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 18, 2021 to Mar 31, 2025 · Garden City, Ny
S•••••• N••••••• • C••••••• I••••••••• national BD
Jan 24, 2014 to Dec 26, 2014 · Garden City, Ny
W•••• F•••• A••••••• wirehouse
Mar 14, 2012 to Jan 15, 2014 · Garden City, Ny

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
S•••••• N••••••• • C••••••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Dec 26, 2014, registered Oct 18, 2021 (2488 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Jan 15, 2014, registered Jan 24, 2014 (9 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address