DFX Intelligence
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Registered advisor
S•••••• L•••• S•••••••
Feed of 09/14/2026
At current firm
18 y
since Sep 10, 2008
In the industry
33 y
since Nov 25, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 10, 2008 · Fort Worth, Tx
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 29, 2006 to Sep 4, 2008 · Fort Worth, Tx
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedDec 20, 2002 to Mar 29, 2006 · Ft. Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 4, 2008, registered Sep 10, 2008 (6 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left Mar 29, 2006, registered Jun 29, 2006 (92 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address