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
N••• S••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as N••• S••••••••• D••••• S••••••••
At current firm
1 y
since Jan 22, 2025
In the industry
10 y
since Feb 1, 2016 (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
S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 22, 2025 · Cockeysville, Md
- A••••••••• F•••••••• S•••••••• L•• national BDAug 4, 2023 to Dec 19, 2024 · Baltimore, Md
- J••• M••••• S••••••••• L•• wirehouseAug 4, 2023 to Aug 6, 2023 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Dec 19, 2024, registered Jan 22, 2025 (34 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 6, 2023, registered Aug 4, 2023 (-2 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedDec 19, 2024 · Advisor changed firm · fact
- ••• LockedAug 6, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address