DFX Intelligence
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Registered advisor
G••••• D••••• S••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
1 y
since Nov 14, 2024
In the industry
34 y
since Dec 16, 1991 (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
S65, 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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Fort Mill, Sc
- P•••• S••••••••• L•• no RAUMOct 8, 2013 to Nov 14, 2024 · Rosemont, Il
- M•• F•••••••• S•••••••• I••• formerJun 10, 2011 to Sep 13, 2013 · Buffalo Grove, Il
- P•••• S••••••••• L•• no RAUMJan 8, 2002 to Aug 12, 2004 · Rosemont, Il
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Sep 13, 2013, registered Oct 8, 2013 (25 days) · Other
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Aug 12, 2004, registered Jun 10, 2011 (2493 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address