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
S••• M•••••• T•••
Feed of 09/15/2026
Also filed as S••• T•••••••• T•••
At current firm
5 y
since Aug 18, 2021
In the industry
13 y
since Nov 10, 2012 (earliest exam, job or registration)
Prior registered firms
2
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
- L•• F•••••••• L•• BD affiliated currentsince Aug 18, 2021 · Richmond, Va
- W•••• F•••• A••••••• wirehouseNov 14, 2014 to Aug 25, 2021 · Richmond, Va
- E••••• J•••• national BDJan 8, 2013 to Nov 17, 2014 · Glen Allen, Va
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Aug 25, 2021, registered Aug 18, 2021 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E••••• J•••• to W•••• F•••• A•••••••left Nov 17, 2014, registered Nov 14, 2014 (-3 days) · Affiliated broker-dealer or bank to wirehouse
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address