DFX Intelligence
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Registered advisor
S•••••• E•••• W•••••
Feed of 09/15/2026
Also filed as S•••••• E•••• D••••••••• E•••• D••••••••• E•••• M•••••••
At current firm
7 y
since Sep 23, 2019
In the industry
34 y
since Dec 12, 1991 (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
S65, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 23, 2019 · Heber Springs, Ar
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Oct 3, 2019 · Conway, Ar
- M••••• K••••• • C••••••• L•• formerFeb 11, 2003 to Feb 13, 2013 · Little Rock, Ar
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 3, 2019, registered Sep 23, 2019 (-10 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address