DFX Intelligence
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Registered advisor
P••• T• H•••••
Feed of 09/14/2026
Also filed as P••• T• ••• H•••••
At current firm
13 y
since Mar 26, 2013
In the industry
31 y
since Sep 22, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 26, 2013 · Wichita Falls, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 9, 2013 · Wichita Falls, Tx
- M••••• S•••••• • C•• L•• unclassifiedOct 6, 2008 to Jun 1, 2009 · Wichita Falls, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 20, 2002 to Oct 21, 2008 · Wichita Falls, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 1995 to Sep 24, 2002 · Wichita Falls, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 9, 2013, registered Mar 26, 2013 (-14 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Oct 21, 2008, registered Oct 6, 2008 (-15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Sep 24, 2002, registered Sep 20, 2002 (-4 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