DFX Intelligence
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Registered advisor
P•••• C•••••• L•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
16 y
since Sep 16, 2010
In the industry
39 y
since Aug 27, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
9
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
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Sep 16, 2010 · Riverside, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedMar 14, 2007 to Feb 25, 2010 · San Francisco, Ca
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedApr 6, 2001 to Mar 5, 2007 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 11, 1993 to Mar 5, 2007 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to V•••• F•••••••• A•••••••• I•••left Feb 25, 2010, registered Sep 16, 2010 (203 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••left Mar 5, 2007, registered Mar 14, 2007 (9 days) · Other
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Mar 5, 2007, registered Mar 14, 2007 (9 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address