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
A•••• S••••• D•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as A•••• M•••• S••••••••• S• D•••••
At current firm
11 y
since Jul 17, 2015
In the industry
28 y
since Apr 23, 1998 (earliest exam, job or registration)
Prior registered firms
2
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
- V••••••• A•••••••• I••• BD affiliated currentsince Jul 17, 2015 · Charlotte, Nc
- M••••• S•••••• wirehouseOct 26, 2010 to Jul 19, 2011 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseSep 12, 2007 to Sep 20, 2010 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to V••••••• A•••••••• I•••left Jul 19, 2011, registered Jul 17, 2015 (1459 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Sep 20, 2010, registered Oct 26, 2010 (36 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address