DFX Intelligence
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F•••••••• F•••••• T•••••••
First President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Irvine, Ca IAPD 2308697
As of · the IAPD feed; also filed as F••• T••••••••• F•••••• T••••••••• F•••••• T•••••••
- At current firm
- 2 y
- In the industry
- 33 y
- Prior registered firms
- 4
- Signals
- 1
since Apr 30, 2024
As of · the IAPD feed; also filed as F••• T••••••••• F•••••• T••••••••• F•••••• T•••••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- First President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 30, 2024 · Lighthouse Pt, Fl
- U•• F•••••••• S••••••• I••• wirehouseMay 3, 2011 to May 10, 2024 · Fallbrook, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 20, 2011 · Fallbrook, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 25, 2005 to Jun 1, 2009 · Fallbrook, Ca
- M••••• S•••••• D• I••• unclassifiedApr 21, 2000 to Feb 28, 2005 · Laguna Woods, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left May 10, 2024, registered Apr 30, 2024 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left May 20, 2011, registered May 3, 2011 (-17 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Feb 28, 2005, registered Feb 25, 2005 (-3 days) · Other
Signals
- ••• LockedMay 10, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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