DFX Intelligence
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Registered advisor
E••• C•••••• A•••••••
Feed of 09/14/2026
At current firm
18 y
since May 13, 2008
In the industry
27 y
since Dec 17, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 13, 2008 · San Diego, Ca
- W••• I••••••••• I••• unclassifiedMay 31, 2006 to May 6, 2008 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 22, 2000 to Jan 14, 2003 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- W••• I••••••••• I••• to L•• F•••••••• L••left May 6, 2008, registered May 13, 2008 (7 days) · Other
- U•• F•••••••• S••••••• I••• to W••• I••••••••• I•••left Jan 14, 2003, registered May 31, 2006 (1233 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address