DFX Intelligence
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Registered advisor
D•••• M•••••••• S•••••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
2 y
since Oct 11, 2023
In the industry
21 y
since Oct 16, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 11, 2023 · Latham, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 20, 2019 to Oct 11, 2023 · Latham, Ny
- F•••••••• A••••••• S•••••••• L•• formerJul 2, 2014 to Jun 24, 2019 · Latham, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Oct 11, 2023, registered Oct 11, 2023 (0 days) · Affiliated broker-dealer or bank to another
- F•••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 24, 2019, registered Jun 20, 2019 (-4 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 11, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address