DFX Intelligence
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Registered advisor
W•••••• C••••••••• C••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as W•••••• C• C•••••• J••••••••• C• C••••••••• C• C••••••
At current firm
4 y
since Jun 9, 2022
In the industry
18 y
since Jun 2, 2008 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 9, 2022 · Chester, Nj
- E••••• J•••• national BDNov 17, 2017 to Jun 10, 2022 · Succasunna, Nj
- B••••••• C•••••• I••• formerApr 14, 2011 to Jun 28, 2013 · Jersey City, Nj
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedAug 11, 2010 to Apr 7, 2011 · Albany, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 11, 2008 to Apr 27, 2010 · Albany, Ny
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to L•• F•••••••• L••left Jun 10, 2022, registered Jun 9, 2022 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- B••••••• C•••••• I••• to E••••• J••••left Jun 28, 2013, registered Nov 17, 2017 (1603 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to B••••••• C•••••• I•••left Apr 7, 2011, registered Apr 14, 2011 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G•••••• S•••• W••••• S•••••••• L•••left Apr 27, 2010, registered Aug 11, 2010 (106 days) · Other
Signals
- ••• LockedJun 10, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address