DFX Intelligence
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Registered advisor
S•••• E••••• G••••
Feed of 09/14/2026
At current firm
11 y
since Jan 8, 2015
In the industry
15 y
since Feb 11, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 8, 2015 · Phoenix, Az
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 9, 2012 to Dec 4, 2014 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDFeb 23, 2011 to Jul 31, 2012 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to C•••••• S••••• • C••• I•••left Dec 4, 2014, registered Jan 8, 2015 (35 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 31, 2012, registered Aug 9, 2012 (9 days) · Affiliated broker-dealer or bank to another
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address