DFX Intelligence
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Feed of 09/15/2026
Also filed as C••••••••• S••• K••••
At current firm
1 y
since Jan 3, 2025
In the industry
32 y
since May 25, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- S•• BD affiliated currentsince Jan 3, 2025 · Flint, Mi
- B• R•••• W••••• M••••••••• formerOct 12, 2010 to Sep 13, 2017 · Flint, Mi
- R•• C•••••• M••••••• L•• national BDMay 12, 2009 to Oct 15, 2010 · Brighton, Mi
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• M••••••••• to S••left Sep 13, 2017, registered Jan 3, 2025 (2669 days) · Other
- R•• C•••••• M••••••• L•• to B• R•••• W••••• M•••••••••left Oct 15, 2010, registered Oct 12, 2010 (-3 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address