DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••••• A•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S•••••• E••••• A•••••
At current firm
12 y
since Jul 9, 2014
In the industry
28 y
since Jan 26, 1998 (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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 9, 2014 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 15, 2012 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedApr 15, 2002 to Sep 27, 2006 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 15, 2012, registered Jul 9, 2014 (785 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address