DFX Intelligence
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Registered advisor
S••••• M•••••• W••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
6 y
since Nov 14, 2019
In the industry
41 y
since Jan 11, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Nov 14, 2019 · Middletown, Oh
- S••••••••• A•••••• A•••••••• I••• formerMay 1, 2017 to Nov 14, 2019 · Middleton, Oh
- I••••••••• F•••••••• P••••••• BD affiliatedSep 22, 2015 to May 3, 2017 · Middletown, Oh
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Sep 7, 2016 · Middletown, Oh
- M••••• S•••••• C••••••••• unclassifiedAug 22, 2008 to Sep 8, 2009 · Middletown, Oh
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to I••••••••• F•••••••• P•••••••left Nov 14, 2019, registered Nov 14, 2019 (0 days) · Affiliated broker-dealer or bank to another
- I••••••••• F•••••••• P••••••• to S••••••••• A•••••• A•••••••• I•••left May 3, 2017, registered May 1, 2017 (-2 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Sep 7, 2016, registered Sep 22, 2015 (-351 days) · Other
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address