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•••• M• C•••••
Chartered Financial Consultant
Feed of 09/15/2026
Also filed as S•••• M• S••••••••• M••••••• S••••••••• S••••••••• C••••••••• M••••••• C•••••
At current firm
3 y
since Feb 20, 2023
In the industry
25 y
since Sep 17, 2001 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 20, 2023 · Winter Park, Fl
- J••• M••••• S••••••••• L•• wirehouseJun 19, 2014 to Feb 18, 2023 · Lake Mary, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 31, 2013 · Short Hills, Nj
- C•••• I••••••••• S••••••• C•••• formerJun 4, 2012 to Oct 1, 2012 · Short Hills, Nj
- C•••• I••••••••• S••••••• C•••• formerNov 7, 2003 to Nov 10, 2010 · New York, Ny
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 29, 2003 to Jul 16, 2003 · White Plains, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 18, 2023, registered Feb 20, 2023 (2 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left Jul 16, 2003, registered Nov 7, 2003 (114 days) · Other
Signals
- ••• LockedFeb 18, 2023 · Advisor changed firm · fact
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