DFX Intelligence
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Registered advisor
J•••• B•••• S••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
8 y
since Nov 29, 2017
In the industry
35 y
since Dec 12, 1990 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Long Beach, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 17, 2009 to Dec 6, 2017 · Long Beach, Ca
- A••••••••• S••••••••• C•••• unclassifiedJul 16, 2004 to Aug 18, 2009 · Torrance, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedMar 12, 2001 to Aug 18, 2009 · Torrance, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 6, 2017, registered Nov 29, 2017 (-7 days) · corporate re-registration, not a move
- A••••••••• P••••••• I••••••••• A••••••• I•• to A••••••••• S••••••••• C••••left Aug 18, 2009, registered Jul 16, 2004 (-1859 days) · Other
- A••••••••• S••••••••• C•••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 18, 2009, registered Aug 17, 2009 (-1 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