DFX Intelligence
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Registered advisor
S•••••• L•• W•••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
8 y
since Jun 28, 2018
In the industry
15 y
since Jun 24, 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
- E••••• J•••• national BD currentsince Jun 28, 2018 · St. Louis, Mo
- T• A••••••••• I••• formerFeb 27, 2018 to Jun 22, 2018 · E•••••Sville, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Jun 22, 2018 · Edwardsville, Il
- S•••••••• I••••••••• M••••••••• formerAug 11, 2016 to Feb 26, 2018 · Saint Louis, Mo
- E••••• J•••• national BDAug 22, 2011 to Nov 16, 2011 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to E••••• J••••left Jun 22, 2018, registered Jun 28, 2018 (6 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 22, 2018, registered Feb 27, 2018 (-115 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to S•••••••• I••••••••• M•••••••••left Nov 16, 2011, registered Aug 11, 2016 (1730 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
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