DFX Intelligence
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Registered advisor
D•••• A••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as D•••• K•• A••••••••• P••••••••• A••••••••• K• J••••••••• P•••••• A••••
At current firm
9 y
since Aug 11, 2017
In the industry
37 y
since Jul 8, 1989 (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, 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
- E••••• J•••• national BD currentsince Aug 11, 2017 · Greenville, Ms
- L•• F•••••••• L•• BD affiliatedJul 8, 2010 to Aug 8, 2017 · Fort Mill, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 5, 2003 to Jul 8, 2010 · Greenville, Ms
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Nov 25, 2003 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedJan 30, 2003 to Jul 10, 2003 · Greenville, Ms
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to E••••• J••••left Aug 8, 2017, registered Aug 11, 2017 (3 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 8, 2010, registered Jul 8, 2010 (0 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Nov 25, 2003, registered Nov 5, 2003 (-20 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 10, 2003, registered Jul 10, 2003 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address