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
D•••• O•••• D••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
7 y
since May 23, 2019
In the industry
45 y
since Jul 29, 1981 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince May 23, 2019 · Raleigh , Nc
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to May 2, 2019 · Raleigh, Nc
- M••••• K••••• • C••••••• L•• formerDec 31, 2001 to Feb 13, 2013 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left May 2, 2019, registered May 23, 2019 (21 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (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
- Wirehousederived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address