DFX Intelligence
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Registered advisor
S••••• P• L•••
Feed of 09/14/2026
Also filed as S••••• P•••••• L••••••••• P• L••••••••• P•••••• L•••
At current firm
6 y
since Nov 27, 2019
In the industry
28 y
since Aug 3, 1998 (earliest exam, job or registration)
Prior registered firms
5
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
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Nov 27, 2019 · Frisco, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 6, 2011 to Nov 29, 2019 · Austin, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDNov 17, 2010 to Mar 3, 2011 · Fort Worth, Tx
- U••• B•••••• I••••••••• I••• formerJun 16, 2009 to Sep 4, 2009 · Englewood, Co
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 27, 2003 to Feb 9, 2009 · Memphis, Tn
- M••••• S•••••• D• I••• unclassifiedAug 13, 1998 to Jun 30, 2003 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 29, 2019, registered Nov 27, 2019 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 3, 2011, registered Apr 6, 2011 (34 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 4, 2009, registered Nov 17, 2010 (439 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••left Feb 9, 2009, registered Jun 16, 2009 (127 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 30, 2003, registered Jun 27, 2003 (-3 days) · Other
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
- 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