DFX Intelligence
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Registered advisor
T•••••• C••• S••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as T•• S••••
At current firm
8 y
since Aug 20, 2018
In the industry
37 y
since Sep 29, 1988 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Aug 20, 2018 · Beaumont, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 27, 2012 to Aug 21, 2018 · Beaumont, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jul 30, 2012 · Beaumont, Tx
- E•• unclassifiedJul 7, 2006 to Sep 27, 2012 · Beaumont, Tx
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 1, 1996 to Jan 2, 2009 · Beaumont, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 21, 2018, registered Aug 20, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- E•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 27, 2012, registered Jan 2, 2009 (-1364 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Jul 30, 2012, registered Jul 27, 2012 (-3 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to E••left Jan 2, 2009, registered Jul 7, 2006 (-910 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address