DFX Intelligence
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Registered advisor
S••••• T•••• W••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as S••••• T W••••••
At current firm
0 y
since Nov 10, 2025
In the industry
39 y
since Jun 1, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- N•••••• A••••••• BD affiliated currentsince Nov 10, 2025 · New Orleans, La
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 2, 2010 to Nov 20, 2025 · Jacksonville, Fl
- B••••• I••••••••• A••••••• L•• unclassifiedMar 11, 2009 to Nov 5, 2010 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDJun 1, 1987 to Feb 13, 2009 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to N•••••• A•••••••left Nov 20, 2025, registered Nov 10, 2025 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••••• I••••••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 5, 2010, registered Dec 2, 2010 (27 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••••• I••••••••• A••••••• L••left Feb 13, 2009, registered Mar 11, 2009 (26 days) · Other
Signals
- S••••• T•••• W•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for N•••••• A••••••• (registered 2025-11-10)Nov 20, 2025 · Advisor changed firm · fact
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address