DFX Intelligence
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Registered advisor
C• S•••• R••••••
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
14 y
since Apr 5, 2012
In the industry
35 y
since Mar 25, 1991 (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
- E•••• S••••••••• L•• BD affiliated currentsince Apr 5, 2012 · Weston, Fl
- F••••• W••••• C••••••••• I••• unclassifiedJan 29, 1997 to Nov 19, 2008 · Fort Lauderdale, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 1991 to Oct 27, 2009 · Ft Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to F••••• W••••• C••••••••• I•••left Oct 27, 2009, registered Jan 29, 1997 (-4654 days) · Other
- F••••• W••••• C••••••••• I••• to E•••• S••••••••• L••left Nov 19, 2008, registered Apr 5, 2012 (1233 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address