DFX Intelligence
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Registered advisor
C••••• L•••• D••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as Carlene Sharon L••••
At current firm
17 y
since May 8, 2009
In the industry
27 y
since Nov 19, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 8, 2009 · Beverly, Ma
- O•••• I••••••••• I••• BD affiliatedApr 4, 2002 to Aug 3, 2005 · Danvers, Ma
Moves
a registration end followed by a registration begin elsewhere
- O•••• I••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 3, 2005, registered May 8, 2009 (1374 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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