DFX Intelligence
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Registered advisor
J••• C•••••• F•••••
Feed of 09/14/2026
At current firm
12 y
since Jan 7, 2014
In the industry
38 y
since May 20, 1988 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Jan 7, 2014 · Portsmouth, Ri
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 30, 2005 to Nov 16, 2011 · Avon, Ct
- A•••••• I••• unclassifiedNov 5, 1998 to Dec 20, 2005 · Avon, Ct
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left Nov 16, 2011, registered Jan 7, 2014 (783 days) · Other
- A•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 20, 2005, registered Nov 30, 2005 (-20 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address