DFX Intelligence
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Registered advisor
S••••• C•••• F••••••
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
27 y
since Dec 15, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Bismarck, Nd
- S••••••••• A•••••• A•••••••• I••• formerMay 31, 2016 to Jun 14, 2024 · Bismarck, Nd
- U••• B•••••• I••••••••• I••• formerApr 29, 2013 to May 24, 2016 · Dickinson, Nd
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Apr 24, 2013 · Sioux Falls, Sd
- W•••• F•••• I••••••••• L•• unclassifiedApr 3, 2001 to Jan 3, 2011 · Bismarck, Nd
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left May 24, 2016, registered May 31, 2016 (7 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Apr 24, 2013, registered Apr 29, 2013 (5 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address