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
C•••• N••• D••••
Feed of 09/14/2026
Also filed as P••••• N••• O••
At current firm
10 y
since Nov 25, 2015
In the industry
19 y
since Feb 15, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- W•••• F•••• A••••••• wirehouse currentsince Nov 25, 2015 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDSep 2, 2015 to Nov 12, 2015 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseFeb 16, 2010 to Nov 18, 2014 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 16, 2007 to Feb 16, 2010 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Nov 12, 2015, registered Nov 25, 2015 (13 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 18, 2014, registered Sep 2, 2015 (288 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Feb 16, 2010, registered Feb 16, 2010 (0 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address