DFX Intelligence
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Registered advisor
M•••••• C• S•••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M•••••• C• S•••••••••
At current firm
3 y
since Jun 12, 2023
In the industry
13 y
since Sep 12, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• P•••••• I••••••••• A•••••••• I••• independent RIA currentsince Jun 12, 2023 · Ithaca, Ny
- L•• F•••••••• L•• BD affiliatedMay 24, 2017 to Jun 14, 2023 · Cortland, Ny
- E••••• J•••• national BDMar 20, 2015 to May 16, 2017 · Owego, Ny
- E•••••••• A•••••••• L•• national BDJul 30, 2014 to Mar 17, 2015 · Ithaca, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••• P•••••• I••••••••• A•••••••• I•••left Jun 14, 2023, registered Jun 12, 2023 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- E••••• J•••• to L•• F•••••••• L••left May 16, 2017, registered May 24, 2017 (8 days) · Other
- E•••••••• A•••••••• L•• to E••••• J••••left Mar 17, 2015, registered Mar 20, 2015 (3 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJun 14, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address