DFX Intelligence
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Feed of 09/14/2026
Also filed as W••••• J••••• M••••••••• M•••••
At current firm
2 y
since Nov 14, 2023
In the industry
12 y
since Dec 6, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince Nov 14, 2023 · Denver, Co
- C•••••• S••••• • C••• I••• national BDJun 3, 2016 to Oct 20, 2023 · Sunnyvale, Ca
- E••••• J•••• national BDDec 19, 2013 to Apr 12, 2016 · Cupertino, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to M••••• S••••••left Oct 20, 2023, registered Nov 14, 2023 (25 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to C•••••• S••••• • C••• I•••left Apr 12, 2016, registered Jun 3, 2016 (52 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedOct 20, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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