DFX Intelligence
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S••••• B••• D•••••
Certified Financial Planner
As of · the IAPD feed; also filed as S••••• B••• M••••••••• B••• J••••••••• B••• W••••••••
- At current firm
- 17 y
- In the industry
- 22 y
- Prior registered firms
- 2
- Signals
- 0
since Jul 31, 2009
As of · the IAPD feed; also filed as S••••• B••• M••••••••• B••• J••••••••• B••• W••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 31, 2009 · Sugar Land, Tx
- L•• F•••••••• L•• BD affiliatedSep 24, 2007 to Aug 4, 2009 · Friendswood, Tx
- A• G• E•••••• • S•••• I••• unclassifiedJun 4, 2004 to Oct 4, 2007 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 4, 2009, registered Jul 31, 2009 (-4 days) · Other
- A• G• E•••••• • S•••• I••• to L•• F•••••••• L••left Oct 4, 2007, registered Sep 24, 2007 (-10 days) · Other
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