DFX Intelligence
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Registered advisor
S••••• S• M•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as S••••• K•• S••••••••• S•••••• K•••••
At current firm
9 y
since May 18, 2017
In the industry
38 y
since Jun 28, 1988 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 18, 2017 · Orlando, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 30, 2006 to May 18, 2017 · Orlando, Fl
- M••••• S•••••• D• I••• unclassifiedJun 28, 1988 to Jul 10, 2006 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left May 18, 2017, registered May 18, 2017 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 10, 2006, registered Jun 30, 2006 (-10 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
- 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