DFX Intelligence
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Registered advisor
S•••••• E••••• D•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
13 y
since Oct 26, 2012
In the industry
35 y
since Sep 4, 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
- C•••••• S••••• • C••• I••• national BD currentsince Oct 26, 2012 · South Windsor, Ct
- O•••• W•••••• I••• BD affiliatedAug 23, 2005 to Oct 19, 2012 · Ellington, Ct
- S•••••• • C••• I••• unclassifiedNov 10, 2000 to Jun 24, 2005 · Marietta, Ga
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to C•••••• S••••• • C••• I•••left Oct 19, 2012, registered Oct 26, 2012 (7 days) · Other
- S•••••• • C••• I••• to O•••• W•••••• I•••left Jun 24, 2005, registered Aug 23, 2005 (60 days) · Other
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address