DFX Intelligence
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Registered advisor
S•••••• M•••• A•••••••
Feed of 09/14/2026
At current firm
4 y
since May 18, 2022
In the industry
10 y
since Jun 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
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 May 18, 2022 · New York, Ny
- O•••• W•••••• I••• BD affiliatedFeb 4, 2021 to Jun 28, 2022 · Garden City, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to M••••• S••••••left Jun 28, 2022, registered May 18, 2022 (-41 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJun 28, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address