DFX Intelligence
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Registered advisor
T•••••• C••••• B••••
Feed of 09/14/2026
Also filed as T•••••• C• B••••••••• C• B••••
At current firm
17 y
since Mar 31, 2009
In the industry
30 y
since Aug 13, 1996 (earliest exam, job or registration)
Prior registered firms
1
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 31, 2009 · Pepper Pike, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 9, 1999 to Apr 3, 2009 · Cleveland, Oh
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 3, 2009, registered Mar 31, 2009 (-3 days) · Wirehouse to affiliated broker-dealer or bank
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address