DFX Intelligence
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Registered advisor
T••••• W•••••• D••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
9 y
since Feb 3, 2017
In the industry
31 y
since Mar 9, 1995 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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 Feb 3, 2017 · Pepper Pike, Oh
- U•• F•••••••• S••••••• I••• wirehouseJan 28, 2009 to Feb 14, 2017 · Pepper Pike, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 9, 1999 to Jan 30, 2009 · Solon, Oh
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 14, 2017, registered Feb 3, 2017 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 30, 2009, registered Jan 28, 2009 (-2 days) · Wirehouse to wirehouse
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