DFX Intelligence
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Registered advisor
S••••• W•••• B••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S••••• W•••• B••••
At current firm
8 y
since Sep 21, 2018
In the industry
33 y
since Nov 19, 1992 (earliest exam, job or registration)
Prior registered firms
4
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 21, 2018 · Charleston, Sc
- W•••• F•••• A••••••• wirehouseAug 14, 2009 to Sep 25, 2018 · Hilton Head Island, Sc
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 17, 2009 · Hilton Head Island, Sc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Hilton Head Island, Sc
- M••••• S•••••• D• I••• unclassifiedMar 28, 2003 to Apr 2, 2007 · Hilton Head Island, Sc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Sep 25, 2018, registered Sep 21, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Aug 17, 2009, registered Aug 14, 2009 (-3 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address