DFX Intelligence
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Registered advisor
C•••••• R•••• S••••••
Chartered Financial Consultant
Feed of 09/15/2026
Also filed as C•••••• S••••••
At current firm
5 y
since Nov 18, 2020
In the industry
47 y
since Jul 1, 1979 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 18, 2020 · Bellevue, Wa
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Nov 23, 2020 · Mercer Island, Wa
- S••••••• I••••••••• I••• formerJun 9, 1998 to Nov 2, 2018 · Mercer Island, Wa
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 23, 2020, registered Nov 18, 2020 (-5 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
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
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address