DFX Intelligence
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Registered advisor
M•••••• C••• M•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as M••• C••• M••••••••• C• M••••••••• C••• M••••••••• M•••••
At current firm
1 y
since Oct 29, 2024
In the industry
26 y
since Dec 6, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 29, 2024 · Minneapolis, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDAug 8, 2011 to Mar 15, 2018 · Minneapolis, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 8, 2010 to Dec 2, 2010 · Tucson, Az
- R•• C•••••• M••••••• L•• national BDJul 22, 2004 to Feb 18, 2010 · Tucson, Az
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 20, 2003 to Jul 19, 2004 · Tucson, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 6, 2000 to Jan 22, 2003 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Dec 2, 2010, registered Aug 8, 2011 (249 days) · Other
- R•• C•••••• M••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 18, 2010, registered Mar 8, 2010 (18 days) · Other
- A••••••••• A•••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Jul 19, 2004, registered Jul 22, 2004 (3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• A•••••• S•••••••• I•••left Jan 22, 2003, registered Aug 20, 2003 (210 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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