DFX Intelligence
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Registered advisor
D•••• T•••••• H•••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
16 y
since Dec 3, 2009
In the industry
32 y
since Aug 2, 1994 (earliest exam, job or registration)
Prior registered firms
3
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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 3, 2009 · Roseville, Ca
- C••••• A•••••• N••••••• L•• formerAug 13, 2008 to Aug 13, 2009 · Folsom, Ca
- P•••••• P••••••• S••••••••• I••• unclassifiedMar 9, 2006 to Aug 13, 2008 · Sacramento, Ca
- C•••••• S••••• • C••• I••• national BDJul 8, 1997 to May 3, 2002 · Roseville, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• A•••••• N••••••• L•• to C•••••• S••••• • C••• I•••left Aug 13, 2009, registered Dec 3, 2009 (112 days) · Other
- P•••••• P••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Aug 13, 2008, registered Aug 13, 2008 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to P•••••• P••••••• S••••••••• I•••left May 3, 2002, registered Mar 9, 2006 (1406 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