DFX Intelligence
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Registered advisor
C•••••• W•••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as T••• W••••••••• A•••••••• W•••••
At current firm
8 y
since Jul 2, 2018
In the industry
16 y
since Jun 14, 2010 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jul 2, 2018 · Lewisville, Tx
- P•••• S••••••••• L•• no RAUMMar 23, 2015 to Jul 12, 2018 · Plano, Tx
- E•••••••• A•••••••• L•• national BDJun 22, 2010 to Mar 24, 2015 · Richardson, Tx
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E••••• J••••left Jul 12, 2018, registered Jul 2, 2018 (-10 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Mar 24, 2015, registered Mar 23, 2015 (-1 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address