DFX Intelligence
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Registered advisor
T••••• C••• A•••••
Personal Financial Specialist
Feed of 09/15/2026
At current firm
8 y
since Nov 29, 2017
In the industry
34 y
since Feb 14, 1992 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Middletown, Ny
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 4, 2008 to Dec 1, 2017 · Tarrytown, Ny
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 1, 2017, registered Nov 29, 2017 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address