DFX 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
E••• D•••• C•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
At current firm
6 y
since May 28, 2020
In the industry
15 y
since May 11, 2011 (earliest exam, job or registration)
Prior registered firms
4
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
- C•••••• S••••• • C••• I••• national BD currentsince May 28, 2020 · Dunedin, Fl
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerDec 9, 2013 to Jan 8, 2018 · Tampa, Fl
- E•••••••• A•••••••• L•• national BDJun 19, 2012 to Jan 25, 2013 · Tampa, Fl
- M••••• S•••••• wirehouseMay 16, 2011 to Feb 8, 2012 · Clearwater, Fl
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered May 28, 2020 (4 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Jan 25, 2013, registered Dec 9, 2013 (318 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• S•••••• to E•••••••• A•••••••• L••left Feb 8, 2012, registered Jun 19, 2012 (132 days) · Wirehouse to affiliated broker-dealer or bank
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address