DFX 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
M••••••• L•••• P••••••••
Feed of 09/14/2026
Also filed as M••••• P••••••••
At current firm
5 y
since Sep 26, 2020
In the industry
12 y
since Nov 22, 2013 (earliest exam, job or registration)
Prior registered firms
2
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
- M••••• S•••••• wirehouse currentsince Sep 26, 2020 · Peoria, Il
- R•••••• J•••• • A••••••••• I••• national BDJan 15, 2019 to Sep 25, 2020 · Peoria Heights, Il
- M••••• S•••••• wirehouseNov 22, 2013 to Jan 10, 2019 · Peoria, Il
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Sep 25, 2020, registered Sep 26, 2020 (1 day) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Jan 10, 2019, registered Jan 15, 2019 (5 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address