DFX Intelligence
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Registered advisor
S••••• E• W•••••
Feed of 09/14/2026
Also filed as S••••• E••••• W•••••
At current firm
10 y
since Dec 10, 2015
In the industry
26 y
since Dec 28, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 10, 2015 · St. Petersburg, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 6, 2012 to Dec 11, 2015 · Philadelphia, Pa
- I••••••••• A••••••• I••••••••• I••• unclassifiedOct 3, 2006 to Jan 6, 2012 · Johns Creek, Ga
- R•••••• J•••• • A••••••••• I••• national BDMay 17, 2006 to Oct 13, 2006 · St. Petersburg, Fl
Moves
a registration end followed by a registration begin elsewhere
- T••••••••• F•••••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 11, 2015, registered Dec 10, 2015 (-1 days) · Other
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to I••••••••• A••••••• I••••••••• I•••left Oct 13, 2006, registered Oct 3, 2006 (-10 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address