DFX Intelligence
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Feed of 09/15/2026
At current firm
4 y
since Jul 28, 2022
In the industry
13 y
since Aug 1, 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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jul 28, 2022 · New York, Ny
- C•••••• S••••• • C••• I••• national BDMay 13, 2019 to Aug 2, 2022 · Walnut Creek, Ca
- M••••• S•••••• wirehouseJan 1, 2019 to Apr 10, 2019 · Oakland, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to M••••• S••••••left Aug 2, 2022, registered Jul 28, 2022 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Apr 10, 2019, registered May 13, 2019 (33 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedAug 2, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address