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
D•••• A•••••• P••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
10 y
since Oct 15, 2015
In the industry
42 y
since Apr 17, 1984 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 15, 2015 · Collierville, Tn
- P•••••• • B••••• F•••••••• P•••••••• L•• unclassifiedJan 17, 2014 to Oct 15, 2015 · Collierville, Tn
- P•••••• W••••• A••••••• L•• unclassifiedJun 2, 2005 to Oct 15, 2015 · Collierville, Tn
- L•• F•••••••• L•• BD affiliatedApr 4, 2005 to Oct 26, 2015 · Collierville, Tn
- U•• F•••••••• S••••••• I••• wirehouseFeb 3, 2004 to Mar 24, 2005 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to P•••••• W••••• A••••••• L••left Oct 26, 2015, registered Jun 2, 2005 (-3798 days) · Other
- P•••••• W••••• A••••••• L•• to P•••••• • B••••• F•••••••• P•••••••• L••left Oct 15, 2015, registered Jan 17, 2014 (-636 days) · Other
- P•••••• • B••••• F•••••••• P•••••••• L•• to C••••••••• F•••••••• N••••••left Oct 15, 2015, registered Oct 15, 2015 (0 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Mar 24, 2005, registered Apr 4, 2005 (11 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address