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
D•••• C•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Jul 29, 2021
In the industry
18 y
since Feb 18, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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 Jul 29, 2021 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 22, 2015 to Aug 5, 2021 · Fort Worth, Tx
- T• A••••••••• I••• formerMay 22, 2015 to Jul 29, 2021 · Westlake, Tx
- S•••••••• A••••••• L•• national BDNov 16, 2009 to Mar 9, 2015 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 5, 2021, registered Jul 29, 2021 (-7 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 29, 2021, registered May 22, 2015 (-2260 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Mar 9, 2015, registered May 22, 2015 (74 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