DFX Intelligence
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Feed of 09/14/2026
Also filed as D•••• T••••••••• A••• T•••••••
At current firm
1 y
since Dec 10, 2024
In the industry
10 y
since Jul 1, 2016 (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
- E••••• J•••• national BD currentsince Dec 10, 2024 · Edmonds, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 15, 2020 to Jan 4, 2021 · Seattle, Wa
- M••••• S•••••• wirehouseApr 3, 2019 to Jul 27, 2020 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 25, 2017 to Mar 4, 2019 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jan 4, 2021, registered Dec 10, 2024 (1436 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 27, 2020, registered Aug 15, 2020 (19 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 4, 2019, registered Apr 3, 2019 (30 days) · Wirehouse to wirehouse · moved with a team
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address