DFX Intelligence
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Registered advisor
S••••• I•••• R••••••
Feed of 09/14/2026
At current firm
19 y
since Jul 31, 2007
In the industry
30 y
since May 10, 1996 (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
- W•••• F•••• A••••••• wirehouse currentsince Jul 31, 2007 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• national BDMar 16, 2007 to Jul 12, 2007 · St. Petersburg, Fl
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to Mar 1, 2007 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Jul 12, 2007, registered Jul 31, 2007 (19 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Mar 1, 2007, registered Mar 16, 2007 (15 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address