DFX Intelligence
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Feed of 09/14/2026
At current firm
9 y
since Jan 27, 2017
In the industry
34 y
since Jul 23, 1992 (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
S63, S65
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••••• S•••••• wirehouse currentsince Jan 27, 2017 · Tampa, Fl
- R•• C•••••• M••••••• L•• national BDOct 9, 2009 to Feb 13, 2017 · Tampa, Fl
- J• B• H•••••• • C•• unclassifiedJun 5, 2003 to Oct 9, 2009 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M••••• S••••••left Feb 13, 2017, registered Jan 27, 2017 (-17 days) · Affiliated broker-dealer or bank to wirehouse
- J• B• H•••••• • C•• to R•• C•••••• M••••••• L••left Oct 9, 2009, registered Oct 9, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address