DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
E••• S••••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as E••• P••• S••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
18 y
since Sep 28, 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
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 · Folsom, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 28, 2016 to Jul 13, 2018 · Roseville, Ca
- U••• B•••••• I••••••••• I••• formerApr 1, 2011 to Mar 28, 2016 · Rancho Cordova, Ca
- W•••• F•••• A••••••• wirehouseNov 20, 2009 to Mar 31, 2011 · El Dorado Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 1, 2007 to Oct 6, 2009 · Sacramento, 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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to S•••••••• A••••••• L••left Mar 28, 2016, registered Apr 28, 2016 (31 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Mar 31, 2011, registered Apr 1, 2011 (1 day) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 6, 2009, registered Nov 20, 2009 (45 days) · Wirehouse to wirehouse
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