DFX Intelligence
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Registered advisor
S•••• O••• B••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
16 y
since Jan 4, 2010
In the industry
28 y
since Apr 24, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 4, 2010 · Norwood, Pa
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 30, 2006 to Dec 31, 2009 · Holmes, Pa
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Jan 19, 2006 · Holmes, Pa
- M••• S••••••••• C••••••••• unclassifiedNov 10, 2003 to Jun 1, 2005 · Bala Cynwyd, Pa
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2009, registered Jan 4, 2010 (4 days) · Other
- E•••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 19, 2006, registered Jan 30, 2006 (11 days) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (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
- 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