DFX Intelligence
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Registered advisor
S••• C• M••••••
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as S••• C••••••••• M••••••••• M••••••••• C• M••••••
At current firm
0 y
since May 14, 2026
In the industry
17 y
since Sep 21, 2009 (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
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince May 14, 2026 · St. Louis, Mo
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 28, 2022 to Nov 7, 2023 · Breese, Il
- E••••• J•••• national BDFeb 18, 2020 to Jun 29, 2022 · St. Louis, Mo
- E••••• J•••• national BDSep 21, 2009 to Aug 3, 2010 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to E••••• J••••left Nov 7, 2023, registered May 14, 2026 (919 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to C••••• I••••••••• A••••••• L••left Jun 29, 2022, registered Jun 28, 2022 (-1 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedNov 7, 2023 · Advisor changed firm · fact
- ••• LockedJun 29, 2022 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address