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
I••••••• F•••••••• C••••••
Feed of 09/14/2026
At current firm
7 y
since May 14, 2019
In the industry
11 y
since Jul 1, 2015 (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
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince May 14, 2019 · Austin, Tx
- R•••••• J•••• • A••••••••• I••• national BDAug 4, 2017 to Apr 23, 2019 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 23, 2019, registered May 14, 2019 (21 days) · Affiliated broker-dealer or bank to another
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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address