DFX Intelligence
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Registered advisor
E••••• S••••• B••••••••
Feed of 09/15/2026
At current firm
23 y
since Jan 6, 2003
In the industry
25 y
since May 7, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 6, 2003 · Houston, Tx
- E•••••••• A•••••••• L•• national BDJun 29, 2001 to Dec 6, 2002 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 6, 2002, registered Jan 6, 2003 (31 days) · Affiliated broker-dealer or bank to another
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address