DFX Intelligence
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C•••• S• C•••••••
Certified Financial Planner
As of · the IAPD feed; also filed as C•••• S••••••• W••••••••• J• S••••••••• S• C••••••••• S••••••• C•••••••
- At current firm
- 6 y
- In the industry
- 27 y
- Prior registered firms
- 3
- Signals
- 0
since Nov 1, 2019
As of · the IAPD feed; also filed as C•••• S••••••• W••••••••• J• S••••••••• S• C••••••••• S••••••• C•••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 1, 2019 · Montgomery, Al
- W•••• F•••• A••••••• wirehouseApr 27, 2012 to Jun 4, 2019 · Chattanooga, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 29, 2009 to May 1, 2012 · Chattanooga, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDMar 2, 2004 to Jun 1, 2009 · Chattanooga, Tn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 4, 2019, registered Nov 1, 2019 (150 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left May 1, 2012, registered Apr 27, 2012 (-4 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 1, 2009, registered May 29, 2009 (-3 days) · Affiliated broker-dealer or bank to wirehouse
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address