DFX Intelligence
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Registered advisor
R••••• E••••• A••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R••••• A••••••••
At current firm
7 y
since May 6, 2019
In the industry
22 y
since Feb 4, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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 May 6, 2019 · Louisville, Ky
- W•••• F•••• A••••••• wirehouseJul 31, 2009 to May 10, 2019 · Louisville, Ky
- U•• F•••••••• S••••••• I••• wirehouseFeb 17, 2004 to Aug 11, 2009 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left May 10, 2019, registered May 6, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 11, 2009, registered Jul 31, 2009 (-11 days) · Wirehouse to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address