DFX Intelligence
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R•••••• D••••• R•••••••
As of · the IAPD feed
- At current firm
- 12 y
- In the industry
- 36 y
- Prior registered firms
- 1
- Signals
- 0
since Oct 3, 2013
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Sr. VP/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 3, 2013 · Reno, Nv
- W•••• F•••• A••••••• wirehouseNov 5, 2003 to Oct 1, 2013 · Reno, Nv
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 1, 2013, registered Oct 3, 2013 (2 days) · Wirehouse to affiliated broker-dealer or bank
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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address