DFX Intelligence
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Registered advisor
B•••••• A•• B••••
Feed of 09/14/2026
At current firm
9 y
since Jun 2, 2017
In the industry
38 y
since Oct 14, 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
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 2, 2017 · Greenwood Village, Co
- U•• F•••••••• S••••••• I••• wirehouseOct 22, 2013 to Jun 28, 2017 · Denver, Co
- L•• F•••••••• L•• BD affiliatedMay 14, 1998 to Dec 16, 2013 · Aurora, Co
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to C••••••••• F•••••••• N••••••left Jun 28, 2017, registered Jun 2, 2017 (-26 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Dec 16, 2013, registered Oct 22, 2013 (-55 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address