DFX Intelligence
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Registered advisor
D••••• S••••• N•••••
Feed of 09/15/2026
Also filed as D••••• S• N•••••
At current firm
8 y
since Mar 2, 2018
In the industry
46 y
since May 15, 1980 (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
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 Mar 2, 2018 · Hunt Valley, Md
- R•• C•••••• M••••••• L•• national BDMar 13, 2009 to Mar 14, 2018 · Annapolis, Md
- F•••••• B•••• W••••• L•• unclassifiedNov 23, 2005 to Mar 13, 2009 · Frederick, Md
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 14, 2018, registered Mar 2, 2018 (-12 days) · Affiliated broker-dealer or bank to another
- F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••left Mar 13, 2009, registered Mar 13, 2009 (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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address