DFX Intelligence
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Registered advisor
S••••• R•••••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as S••••• S• R••••••••• R•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
15 y
since Feb 25, 2011 (earliest exam, job or registration)
Prior registered firms
3
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 · Lake Elmo, Mn
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 4, 2022 to Mar 31, 2025 · Oakdale, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 8, 2013 to Jul 25, 2014 · Minneapolis, Mn
- E••••• J•••• national BDMar 1, 2011 to Mar 20, 2012 · Maryland Heights, Mo
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
- N••••••••• M••••• I••••••••• S••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 25, 2014, registered Apr 4, 2022 (2810 days) · Other
- E••••• J•••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 20, 2012, registered Apr 8, 2013 (384 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address