DFX Intelligence
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Registered advisor
C••••••••• S•••• O•••••
Feed of 09/14/2026
Also filed as C••••••••• S•••• O••••••••• O•••••
At current firm
3 y
since Jun 29, 2023
In the industry
27 y
since May 28, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Shelby Township, Mi
- A••••••••• F•••••••• S•••••••• L•• national BDDec 10, 2014 to Jun 2, 2021 · Troy, Mi
- W•••••• • R••• formerMay 20, 2004 to Dec 16, 2014 · Wyomissing, Pa
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 2, 2021, registered Jun 29, 2023 (757 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to A••••••••• F•••••••• S•••••••• L••left Dec 16, 2014, registered Dec 10, 2014 (-6 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
- 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