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
P••••• R•••• S•••
Feed of 09/15/2026
At current firm
13 y
since Aug 9, 2013
In the industry
25 y
since Mar 29, 2001 (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
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•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 9, 2013 · Visalia, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 5, 2008 to Aug 7, 2013 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Dec 18, 2008 · Visalia, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 29, 2001 to Jan 1, 2008 · Visalia, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 7, 2013, registered Aug 9, 2013 (2 days) · Other
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 18, 2008, registered Dec 5, 2008 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address