DFX Intelligence
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Registered advisor
S•••• E••••• W••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
3 y
since Sep 15, 2023
In the industry
25 y
since Sep 5, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 15, 2023 · Wausau, Wi
- W•••• F•••• A••••••• wirehouseOct 11, 2013 to Sep 27, 2023 · Wausau, Wi
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 10, 2009 to Oct 18, 2013 · Wausau, Wi
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 13, 2009 · Wausau, Wi
- A• G• E•••••• • S•••• I••• unclassifiedApr 24, 2006 to Jan 1, 2008 · Wausau, Wi
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 27, 2023, registered Sep 15, 2023 (-12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Oct 18, 2013, registered Oct 11, 2013 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 13, 2009, registered Jul 10, 2009 (-3 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
- ••• LockedSep 27, 2023 · Advisor changed firm · fact
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