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
P••• C••••••• S••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
4 y
since Nov 3, 2021
In the industry
43 y
since Sep 15, 1983 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Nov 3, 2021 · Conshohocken, Pa
- R•••••• J•••• • A••••••••• I••• national BDJan 30, 2007 to Nov 30, 2021 · Florham Park, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedMay 11, 2005 to Feb 2, 2007 · Edison, Nj
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 30, 2021, registered Nov 3, 2021 (-27 days) · Affiliated broker-dealer or bank to another
- J••••• M••••••••• S•••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 2, 2007, registered Jan 30, 2007 (-3 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address