DFX Intelligence
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Registered advisor
J••• J•••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as J••• S• J••••••••• S••••• J•••••••
At current firm
3 y
since Sep 1, 2023
In the industry
39 y
since Sep 17, 1987 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Vista, Ca
- S•••••••• F••••••••• I••• formerApr 19, 2017 to Sep 1, 2023 · Vista, Ca
- L•• F•••••••• L•• BD affiliatedApr 9, 2015 to Dec 22, 2016 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerSep 9, 2013 to Nov 21, 2014 · Carlsbad, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 15, 2011 to Sep 9, 2013 · Carlsbad, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedDec 20, 2006 to Mar 9, 2009 · Escondido, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 26, 2006 to Dec 16, 2006 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Dec 22, 2016, registered Apr 19, 2017 (118 days) · Other
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Nov 21, 2014, registered Apr 9, 2015 (139 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Sep 9, 2013, registered Sep 9, 2013 (0 days) · Other
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 9, 2009, registered Nov 15, 2011 (981 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U••• B•••••• A•••••••• L••left Dec 16, 2006, registered Dec 20, 2006 (4 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address