DFX Intelligence
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Registered advisor
S••••• N••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as S••••• C•••••• N••••••
At current firm
2 y
since Apr 18, 2024
In the industry
31 y
since Apr 4, 1995 (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
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
- W•••• F•••• A••••••• wirehouse currentsince Apr 18, 2024 · Hunt Valley, Md
- W•••• F•••• A••••••• wirehouseFeb 13, 2009 to Apr 18, 2024 · Hunt Valley, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Mar 10, 2009 · Hunt Valley, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 12, 1997 to Feb 21, 2006 · Hunt Valley, Md
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Apr 18, 2024, registered Apr 18, 2024 (0 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Mar 10, 2009, registered Feb 13, 2009 (-25 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address