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.
Registered advisor
C••••••••• A••••• C•••••
Feed of 09/15/2026
Also filed as C•••• C••••••••• A••••• C•••••
At current firm
1 y
since May 15, 2025
In the industry
44 y
since Jun 28, 1982 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · East Longmeadow, Ma
- C••• F•••••••• S•••••••• L••• formerJun 20, 2017 to May 15, 2025 · Wilbraham, Ma
- L•• F•••••••• L•• BD affiliatedNov 9, 2015 to Apr 5, 2017 · W Springfield, Ma
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Apr 5, 2017, registered Jun 20, 2017 (76 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address