DFX Intelligence
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Registered advisor
E••• S• S•••••••••
Feed of 09/15/2026
Also filed as E••• S•••• S•••••••••
At current firm
3 y
since Oct 10, 2022
In the industry
16 y
since Jun 1, 2010 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 10, 2022 · Goshen, Ny
- M••••• S•••••• wirehouseMay 27, 2014 to Jul 25, 2022 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jul 25, 2022, registered Oct 10, 2022 (77 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedJul 25, 2022 · Advisor changed firm · fact
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