DFX Intelligence
RIA 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
C•••• C••••••• S•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C•••• C. S•••••
At current firm
1 y
since Mar 31, 2025
In the industry
17 y
since Feb 16, 2009 (earliest exam, job or registration)
Prior registered firms
4
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 · Germantown, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 19, 2019 to Mar 31, 2025 · Germantown, Tn
- P••• A••••• S••••••••• L•• BD affiliatedSep 30, 2013 to Jun 6, 2019 · Memphis, Tn
- S••••••••• A•••• M••••••••• L•• otherOct 4, 2010 to Oct 11, 2012 · Memphis, Tn
- S••••••••• A•••• M••••••••• I•• unclassifiedFeb 17, 2009 to Oct 5, 2010 · Memphis, Tn
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
- P••• A••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 6, 2019, registered Jun 19, 2019 (13 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••• M••••••••• L•• to P••• A••••• S••••••••• L••left Oct 11, 2012, registered Sep 30, 2013 (354 days) · Other
- S••••••••• A•••• M••••••••• I•• to S••••••••• A•••• M••••••••• L••left Oct 5, 2010, registered Oct 4, 2010 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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