DFX Intelligence
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Feed of 09/14/2026
Also filed as C•••• Cate
At current firm
2 y
since Jan 19, 2024
In the industry
39 y
since Jul 21, 1987 (earliest exam, job or registration)
Prior registered firms
2
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
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Waco, Tx
- W••••••• F•••••••• S•••••••• I••• formerMay 29, 2009 to Jan 19, 2024 · Longview, Tx
- N•• E•••••• S••••••••• C••••••••• formerJul 3, 2002 to May 26, 2009 · Waco, Tx
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••left May 26, 2009, registered May 29, 2009 (3 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
- 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