DFX Intelligence
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Registered advisor
C•••• E••••• J••••••
Feed of 09/15/2026
At current firm
8 y
since Aug 30, 2018
In the industry
47 y
since Jul 19, 1979 (earliest exam, job or registration)
Prior registered firms
3
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
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
- Sr. VP/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 30, 2018 · Scottsdale, Az
- U•• F•••••••• S••••••• I••• wirehouseOct 15, 2004 to Sep 10, 2018 · Phoenix, Az
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Nov 4, 2004 · Phoenix, Az
- P••••••••• E••••• G••••• L•• unclassifiedOct 19, 1999 to Jul 1, 2003 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 10, 2018, registered Aug 30, 2018 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Nov 4, 2004, registered Oct 15, 2004 (-20 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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