DFX Intelligence
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D•••••• A•• W•••••••
Senior Registered Client Service Associateat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· St. Johnsbury, VtIAPD 730756
As of · the IAPD feed; also filed as D•••••• A•• T•••••
- At current firm
- 16 y
- In the industry
- 45 y
- Prior registered firms
- 3
- Signals
- 0
since Nov 20, 2009
As of · the IAPD feed; also filed as D•••••• A•• T•••••
ContactWhat is shown hereOnly business contact points published by the advisor’s firm, on its own site or advisor directory, and matched to this registered advisor with a second fact beyond the name. Nothing is inferred or guessed; an office or team line is labelled as such and never shown as a direct line.
what the firm publishes for this advisor, each with the page it was read from
- Team page
- ••• Lockedreportedwithheld-1firm site, Sep 24, 2026
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Senior Registered Client Service AssociatereportedWWW.THESDSMITHFINANCIALGROUP.COMfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Nov 20, 2009 · St. Johnsbury, Vt
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Nov 20, 2009 · St. Johnsbury, Vt
- A• G• E•••••• • S•••• I••• unclassifiedOct 25, 2005 to Jan 1, 2008 · St. Johnsbury, Vt
- W••••• A•••• M••••••••• L•• unclassifiedDec 27, 2000 to Aug 5, 2004 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 20, 2009, registered Nov 20, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- W••••• A•••• M••••••••• L•• to A• G• E•••••• • S•••• I•••left Aug 5, 2004, registered Oct 25, 2005 (446 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote