DFX Intelligence
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Registered advisor
T•• C••
Certified Financial Planner
Feed of 09/15/2026
Also filed as T•• F• C•••••• F••• S•••• C•••••• C•••••• F• C••
At current firm
1 y
since Mar 31, 2025
In the industry
19 y
since May 7, 2007 (earliest exam, job or registration)
Prior registered firms
5
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · La Habra, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 25, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- P•••• S••••••••• L•• no RAUMJun 10, 2020 to Jul 10, 2020 · Irvine, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Feb 5, 2010 · Orange, Ca
- W••• I••••••••• I••• unclassifiedFeb 11, 2009 to May 2, 2009 · Whittier, Ca
- M•• F•••••••• S•••••••• I••• formerMay 17, 2007 to Mar 6, 2008 · City Of Industry, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 10, 2020, registered Aug 25, 2021 (411 days) · Affiliated broker-dealer or bank to another
- C•••• I••••••••• S••••••• C•••• to P•••• S••••••••• L••left Feb 5, 2010, registered Jun 10, 2020 (3778 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to W••• I••••••••• I•••left Mar 6, 2008, registered Feb 11, 2009 (342 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address