DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
S••••• D•••• S••••••
Vice President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Santa Rosa, CaIAPD 1024391
As of · the IAPD feed
- At current firm
- 19 y
- In the industry
- 40 y
- Prior registered firms
- 1
- Signals
- 0
since Sep 20, 2007
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 20, 2007 · Santa Rosa, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 8, 1997 to Sep 27, 2007 · Santa Rosa, Ca
Moves
a registration end followed by a registration begin elsewhere
- A• G• E•••••• • S•••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 27, 2007, registered Sep 20, 2007 (-7 days) · Other
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address