DFX Intelligence
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Registered advisor
S••••• R• P••••••
Feed of 09/14/2026
Also filed as S••••• P••••••••• R•••••• P••••••••• R• P••••••••• R• P••••••
At current firm
2 y
since May 28, 2024
In the industry
12 y
since Sep 1, 2014 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 28, 2024 · Deer Park, Il
- R•••••• J•••• • A••••••••• I••• national BDMar 9, 2020 to Sep 25, 2020 · Schaumburg, Il
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 25, 2020, registered May 28, 2024 (1341 days) · Affiliated broker-dealer or bank to wirehouse
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