DFX Intelligence

RIA 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

S••••• T••••• M•••••

S•••••• N••••••• • C••••••• I•••••••••national BDPhoenix, Az dual registrantIAPD 1157822
Feed of 09/14/2026
Also filed as S•••• T••••••••• M••••••••• D••••••••• T••••••••• T••••••••• T••••••••• T••••• M•••••
At current firm
5 y
since Apr 16, 2021
In the industry
43 y
since Jul 21, 1983 (earliest exam, job or registration)
Prior registered firms
1
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
Professional profile
title, designations and roles as the firm prints them
Title
Sr. VP/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
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
43derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address