DFX Intelligence
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Reading the graph
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Advisor at J••• M••••• S••••••••• L••
Tempe, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | Wirehouse | Dec 9, 2025 | n/a | yes | Tempe, AZ | Current employment |
| E••••• J•••• | National bd RIA | Oct 3, 2019 | Nov 5, 2025 | no | TEMPE, AZ|TEMPE, AZ|TEMPE, AZ|Scottsdale, AZ|Scottsdale, AZ|ST LOUIS, MO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E••••• J•••• | J••• M••••• S••••••••• L•• | Nov 5, 2025 | Dec 9, 2025 | 34 | Firm change | Ibd to wirehouse |
| W•••• F•••• A••••••• | E••••• J•••• | Sep 19, 2019 | Oct 3, 2019 |
| W•••• F•••• A••••••• | Wirehouse | May 23, 2018 | Sep 19, 2019 | no | SCOTTSDALE, AZ | Previous registration |
| C•••••• O•• A•••••••• L•• | Former SEC adviser | Mar 11, 2013 | Jun 23, 2016 | no | MCLEAN, VA | Previous registration |
| F••• | Former SEC adviser | Jun 6, 2011 | Jul 20, 2011 | no | BOCA RATON, FL|BOCA RATON, FL | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Jun 7, 2011 | no | SEATTLE, WA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Dec 18, 2007 | Jan 3, 2011 | no | SEATTLE, WA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jul 12, 2007 | Sep 24, 2007 | no | Seattle, WA | Previous registration |
| Firm change |
| Wirehouse to ibd |
| C•••••• O•• A•••••••• L•• | W•••• F•••• A••••••• | Jun 23, 2016 | May 23, 2018 | 699 | Firm change after gap | Other |
| F••• | C•••••• O•• A•••••••• L•• | Jul 20, 2011 | Mar 11, 2013 | 600 | Firm change after gap | Other |
| W•••• F•••• A••••••• | F••• | Jun 7, 2011 | Jun 6, 2011 | -1 | Firm change | Other |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |
| A••••••••• F•••••••• S•••••••• L•• | W•••• F•••• I••••••••• L•• | Sep 24, 2007 | Dec 18, 2007 | 85 | Firm change | Other |