DFX Intelligence
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Registered advisor
R•• S••••••• G••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S••••••• G••••
At current firm
10 y
since Apr 29, 2016
In the industry
35 y
since Jun 14, 1991 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 29, 2016 · Greensboro, Nc
- I••••• F•••••••• C••••••••• formerMar 1, 2007 to Feb 3, 2015 · Summerfield, Nc
- C••••• A•••••• N••••••• L•• formerOct 31, 2005 to Feb 27, 2007 · El Segundo, Ca
- B••• V••• S••••••••• L•• unclassifiedMar 1, 2005 to Oct 28, 2005 · Greensboro, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to Apr 1, 2005 · Greensboro, Nc
- N•• F•••••••• S•••••••• I••• unclassifiedSep 30, 2002 to Jan 3, 2005 · Greensboro, Nc
- I••••• F•••••••• C••••••••• formerMar 28, 2001 to Sep 30, 2002 · Greensboro, Nc
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to K••••• A••••••• S•••••••• L••left Feb 3, 2015, registered Apr 29, 2016 (451 days) · Other · moved with a team
- C••••• A•••••• N••••••• L•• to I••••• F•••••••• C•••••••••left Feb 27, 2007, registered Mar 1, 2007 (2 days) · Other
- B••• V••• S••••••••• L•• to C••••• A•••••• N••••••• L••left Oct 28, 2005, registered Oct 31, 2005 (3 days) · Other
- S••••••• I••••••••• S•••••••• I••• to B••• V••• S••••••••• L••left Apr 1, 2005, registered Mar 1, 2005 (-31 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to N•• F•••••••• S•••••••• I•••left Sep 30, 2002, registered Sep 30, 2002 (0 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address