DFX Intelligence
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Registered advisor
J•••• T•••••
Feed of 09/14/2026
At current firm
12 y
since Dec 13, 2013
In the industry
26 y
since Oct 11, 1999 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• I••••••••• I••• BD affiliated currentsince Dec 13, 2013 · Norwich, Ct
- H•••••• C•••••• A•••••••• L•• unclassifiedJun 12, 2006 to Apr 6, 2009 · Bozrah, Ct
- N•• E•••••• S••••••••• C••••••••• formerJan 2, 2002 to Jun 12, 2006 · Norwich, Ct
Moves
a registration end followed by a registration begin elsewhere
- H•••••• C•••••• A•••••••• L•• to O•••• I••••••••• I•••left Apr 6, 2009, registered Dec 13, 2013 (1712 days) · Other
- N•• E•••••• S••••••••• C••••••••• to H•••••• C•••••• A•••••••• L••left Jun 12, 2006, registered Jun 12, 2006 (0 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address