DFX Intelligence
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Registered advisor
C••• P•••••• B••••••••
Feed of 09/14/2026
Also filed as C••• B••••••••
At current firm
6 y
since Nov 1, 2019
In the industry
27 y
since Apr 20, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 1, 2019 · Thibodaux, La
- W•••• F•••• A••••••• wirehouseSep 12, 2016 to Nov 6, 2019 · Lafayette, La
- O•••• W•••••• I••• BD affiliatedJan 10, 2005 to May 18, 2007 · Lafayette, La
- P••••••••• E••••• G••••• L•• unclassifiedMay 3, 2002 to Aug 5, 2002 · Lafayette, La
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 6, 2019, registered Nov 1, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- O•••• W•••••• I••• to W•••• F•••• A•••••••left May 18, 2007, registered Sep 12, 2016 (3405 days) · Other
- P••••••••• E••••• G••••• L•• to O•••• W•••••• I•••left Aug 5, 2002, registered Jan 10, 2005 (889 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address