DFX Intelligence
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Registered advisor
T••••• C•••• B••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
8 y
since Feb 14, 2018
In the industry
38 y
since Nov 3, 1987 (earliest exam, job or registration)
Prior registered firms
2
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
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Latham, Ny
- I••••• F•••••••• C••••••••• formerApr 25, 2014 to Feb 16, 2018 · Latham, Ny
- E•••••••• A•••••••• L•• national BDAug 24, 2007 to Apr 30, 2014 · Malta, Ny
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 16, 2018, registered Feb 14, 2018 (-2 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Apr 30, 2014, registered Apr 25, 2014 (-5 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address