DFX Intelligence
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Registered advisor
S••••• P•••• B•••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
6 y
since Mar 6, 2020
In the industry
31 y
since May 2, 1995 (earliest exam, job or registration)
Prior registered firms
7
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 Mar 6, 2020 · Boca Raton, Fl
- M••••• S•••••• wirehouseNov 9, 2010 to Mar 9, 2020 · Boca Raton, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 31, 2007 to Nov 3, 2010 · Boca Raton, Fl
- R••• B••• • C•• unclassifiedDec 7, 2005 to Jul 31, 2007 · Palm Beach Gardens, Fl
- A•••••• I••• unclassifiedJan 24, 2005 to Dec 21, 2005 · Palm Beach Gardens, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jan 18, 2005 · West Palm Beach, Fl
All 7 prior registrationsShow fewer
- Q•••• • R•••••• I••• unclassifiedNov 26, 2002 to Oct 20, 2004 · Palm Beach, Fl
- E•••••••• A•••••••• L•• national BDFeb 10, 2000 to Jul 3, 2002 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Mar 9, 2020, registered Mar 6, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left Nov 3, 2010, registered Nov 9, 2010 (6 days) · Affiliated broker-dealer or bank to wirehouse
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jul 31, 2007, registered Jul 31, 2007 (0 days) · corporate re-registration, not a move
- A•••••• I••• to R••• B••• • C••left Dec 21, 2005, registered Dec 7, 2005 (-14 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A•••••• I•••left Jan 18, 2005, registered Jan 24, 2005 (6 days) · Other
All 7 movesShow fewer
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to Q•••• • R•••••• I•••left Jul 3, 2002, registered Nov 26, 2002 (146 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address