DFX Intelligence
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Registered advisor
C••••••••• S•••••• E••••
Feed of 09/15/2026
Also filed as C••••••••• E••••••••• S•••••• E••••
At current firm
4 y
since Nov 23, 2021
In the industry
19 y
since Feb 16, 2007 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
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
- E••••• J•••• national BD currentsince Nov 23, 2021 · Foristell, Mo
- W•••• F•••• A••••••• wirehouseNov 8, 2021 to Nov 17, 2021 · St. Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 6, 2020 to Mar 11, 2021 · St. Louis, Mo
- S•••••••• I••••••••• M••••••••• formerJan 20, 2015 to Mar 8, 2018 · Saint Louis, Mo
- W•••• F•••• A••••••• wirehouseAug 15, 2014 to Jan 2, 2015 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJul 3, 2012 to Jan 2, 2015 · St. Louis, Mo
- F•••• S•••• F•••••••• M••••••••• I••• unclassifiedOct 5, 2009 to Jun 23, 2010 · Washington, Mo
- E••••• J•••• national BDFeb 16, 2007 to Oct 2, 2009 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to E••••• J••••left Nov 17, 2021, registered Nov 23, 2021 (6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Mar 11, 2021, registered Nov 8, 2021 (242 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• I••••••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 8, 2018, registered Jan 6, 2020 (669 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jan 2, 2015, registered Aug 15, 2014 (-140 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••left Jan 2, 2015, registered Jan 20, 2015 (18 days) · Other
- F•••• S•••• F•••••••• M••••••••• I••• to W•••• F•••• A•••••••left Jun 23, 2010, registered Jul 3, 2012 (741 days) · Other
- E••••• J•••• to F•••• S•••• F•••••••• M••••••••• I•••left Oct 2, 2009, registered Oct 5, 2009 (3 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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