DFX Intelligence
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Registered advisor
E•••• R••• B•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
8 y
since Jul 27, 2018
In the industry
32 y
since Nov 26, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Jul 27, 2018 · Pepper Pike, Oh
- W•••• F•••• A••••••• wirehouseFeb 16, 2011 to Jul 30, 2018 · Pepper Pike, Oh
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2007 to Feb 18, 2011 · Pepper Pike, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedMay 14, 1999 to Feb 9, 2007 · Beachwood, Oh
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 30, 2018, registered Jul 27, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Feb 18, 2011, registered Feb 16, 2011 (-2 days) · Wirehouse to wirehouse
- K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2007, registered Feb 9, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address