DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••••• V••••••• C••••••
Feed of 09/14/2026
Also filed as S•••••• V• C••••••
At current firm
12 y
since Jan 17, 2014
In the industry
27 y
since Aug 19, 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
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
- L•• F•••••••• L•• BD affiliated currentsince Jan 17, 2014 · Walnut Creek, Ca
- R•••••• J•••• • A••••••••• I••• national BDApr 4, 2011 to Jan 22, 2014 · San Francisco, Ca
- H••• B••••• C•••••• M••••••••• I••• unclassifiedDec 12, 2008 to Dec 31, 2011 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 29, 1999 to Dec 16, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left Jan 22, 2014, registered Jan 17, 2014 (-5 days) · Other
- H••• B••••• C•••••• M••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2011, registered Apr 4, 2011 (-271 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• B••••• C•••••• M••••••••• I•••left Dec 16, 2008, registered Dec 12, 2008 (-4 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