DFX Intelligence
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Registered advisor
X•••••• Z••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S•••••• Z••••
At current firm
4 y
since Aug 26, 2022
In the industry
19 y
since Aug 3, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 26, 2022 · Cupertino, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 20, 2022 to Sep 7, 2023 · Cupertino, Ca
- T• A••••••••• I••• formerJun 20, 2022 to Oct 14, 2022 · Cupertino, Ca
- P••• A••••• S••••••••• L•• BD affiliatedNov 21, 2013 to Jan 15, 2015 · Campbell, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJul 8, 2011 to Nov 1, 2012 · San Jose, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedOct 22, 2008 to Jul 28, 2009 · Sunnyvale, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 26, 2022 (-377 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jun 20, 2022 (-116 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to T• A••••••••• I•••left Jan 15, 2015, registered Jun 20, 2022 (2713 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Nov 1, 2012, registered Nov 21, 2013 (385 days) · Other
- I••••••••• A••••••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 28, 2009, registered Jul 8, 2011 (710 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