DFX Intelligence
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Registered advisor
E••••• H•••• I••••••
Feed of 09/14/2026
At current firm
14 y
since Jun 1, 2012
In the industry
23 y
since Apr 12, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 1, 2012 · Naples, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 10, 2004 to Jun 7, 2012 · Dublin, Oh
- U•• F•••••••• S••••••• I••• wirehouseApr 17, 2003 to Dec 17, 2004 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 7, 2012, registered Jun 1, 2012 (-6 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 17, 2004, registered Dec 10, 2004 (-7 days) · Wirehouse to affiliated broker-dealer or bank
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address