DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
J•••• L••• S••••••
Sr. VP/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Hackensack, Nj IAPD 1639009
As of · the IAPD feed; also filed as C••••••••• S••••••••• C•••••••••
- At current firm
- 8 y
- In the industry
- 39 y
- Prior registered firms
- 3
- Signals
- 0
since Jun 18, 2018
As of · the IAPD feed; also filed as C••••••••• S••••••••• C•••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
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 Jun 18, 2018 · Hackensack, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 18, 2018 · Paramus, Nj
- M••••• S•••••• • C•• L•• unclassifiedMar 19, 2009 to Jun 1, 2009 · Paramus, Nj
- U•• F•••••••• S••••••• I••• wirehouseJan 9, 2007 to Mar 26, 2009 · Paramus, Nj
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 18, 2018, registered Jun 18, 2018 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Mar 26, 2009, registered Mar 19, 2009 (-7 days) · Other
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address