DFX Intelligence
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O•••••• I•••••••
As of · the IAPD feed; also filed as O•••••• I••••••••• O•••••• I••••••••• M•••••• I•••••••
- In the industry
- 14 y
- Prior registered firms
- 2
- Signals
- 0
As of · the IAPD feed; also filed as O•••••• I••••••••• O•••••• I••••••••• M•••••• I•••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66
IA exams only
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince May 11, 2026 · Laurel, Md
- E•••••••• A•••••••• L•• national BDJul 23, 2015 to Mar 31, 2018 · East Orange, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 3, 2012 to Jun 30, 2015 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Jun 30, 2015, registered Jul 23, 2015 (23 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