DFX Intelligence
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Registered advisor
D••••• D•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as D••••• D•••• D•••
At current firm
9 y
since Oct 14, 2016
In the industry
18 y
since Oct 17, 2007 (earliest exam, job or registration)
Prior registered firms
2
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
- E••••• J•••• national BD currentsince Oct 14, 2016 · Carmel, In
- P•••• S••••••••• L•• no RAUMJun 9, 2015 to Oct 14, 2016 · Indianapolis, In
- E•••••••• A•••••••• L•• national BDOct 18, 2007 to May 20, 2015 · Carmel, In
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E••••• J••••left Oct 14, 2016, registered Oct 14, 2016 (0 days) · Other
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left May 20, 2015, registered Jun 9, 2015 (20 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address