DFX Intelligence
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Registered advisor
R••••• D••••• N••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as D•• N••••••
At current firm
17 y
since Jul 7, 2009
In the industry
28 y
since Apr 17, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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••••••••• F•••••••• N•••••• national BD currentsince Jul 7, 2009 · Towson, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedApr 10, 2003 to Mar 9, 2009 · Owings Mills, Md
Moves
a registration end followed by a registration begin elsewhere
- T• R••• P•••• A••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Mar 9, 2009, registered Jul 7, 2009 (120 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address