DFX Intelligence
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Registered advisor
S••••• C•••• E••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
12 y
since Aug 13, 2014
In the industry
13 y
since Sep 5, 2013 (earliest exam, job or registration)
Prior registered firms
1
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
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliated currentsince Aug 13, 2014 · Owings Mills, Md
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 6, 2013 to Jun 9, 2014 · Annapolis, Md
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to T• R••• P•••• A••••••• S•••••••• I•••left Jun 9, 2014, registered Aug 13, 2014 (65 days) · Other
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
- 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