DFX Intelligence
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L•••• R••••• S•••••
Certified Financial Planner
As of · the IAPD feed; also filed as B•• S••••••••• R••••• S•••••
- At current firm
- 11 y
- In the industry
- 32 y
- Prior registered firms
- 4
- Signals
- 0
since Mar 18, 2015
As of · the IAPD feed; also filed as B•• S••••••••• R••••• S•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 18, 2015 · St. Petersburg, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 5, 2011 to Mar 9, 2015 · St. Petersburg, Fl
- L••••• W••••• A•••••••• L•• unclassifiedJan 1, 2003 to Sep 10, 2009 · Tampa, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 15, 2002 to Dec 31, 2004 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• national BDAug 18, 1999 to Aug 30, 2002 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Mar 9, 2015, registered Mar 18, 2015 (9 days) · Other
- L••••• W••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 10, 2009, registered Oct 5, 2011 (755 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to L••••• W••••• A•••••••• L••left Dec 31, 2004, registered Jan 1, 2003 (-730 days) · Other
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Aug 30, 2002, registered Oct 15, 2002 (46 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
- 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