DFX Intelligence
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Registered advisor
S••••• M•••••• A••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since May 5, 2021
In the industry
26 y
since May 24, 2000 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 5, 2021 · Windham, Nh
- V••• F•••••••• A•••••••• I••• BD affiliatedAug 11, 2017 to May 7, 2021 · Windham, Nh
- C••••••••• F•••••••• N•••••• national BDMay 9, 2008 to Aug 10, 2017 · Waltham, Ma
- E••••• J•••• national BDOct 3, 2006 to May 13, 2008 · Derry, Nh
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 7, 2021, registered May 5, 2021 (-2 days) · corporate re-registration, not a move
- C••••••••• F•••••••• N•••••• to V••• F•••••••• A•••••••• I•••left Aug 10, 2017, registered Aug 11, 2017 (1 day) · Other
- E••••• J•••• to C••••••••• F•••••••• N••••••left May 13, 2008, registered May 9, 2008 (-4 days) · Affiliated broker-dealer or bank to another
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address