DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••••• C•••• C•••••
Feed of 09/15/2026
Also filed as S•••• C••••••••• C•••• C••••••••• C• C••••••••• C•••••
At current firm
2 y
since Jan 11, 2024
In the industry
39 y
since Sep 22, 1987 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 11, 2024 · Belmont, Ma
- S•••••••• A••••••• L•• national BDJul 27, 1999 to Jun 25, 2009 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Jun 25, 2009, registered Jan 11, 2024 (5313 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address