DFX Intelligence
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Registered advisor
B•••• W•••• H••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
12 y
since Jun 3, 2014
In the industry
42 y
since Apr 25, 1984 (earliest exam, job or registration)
Prior registered firms
3
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
- W•••• F•••• A••••••• wirehouse currentsince Jun 3, 2014 · Venice, Fl
- R•••••• J•••• • A••••••••• I••• national BDOct 16, 2009 to Jun 5, 2014 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Oct 2, 2009 · Venice, Fl
- A• G• E•••••• • S•••• I••• unclassifiedJul 18, 1994 to Jan 1, 2008 · Venice, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Jun 5, 2014, registered Jun 3, 2014 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Oct 2, 2009, registered Oct 16, 2009 (14 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address