DFX Intelligence
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Registered advisor
J•••• D•••• B••••••••
Feed of 09/14/2026
At current firm
13 y
since Aug 15, 2013
In the industry
38 y
since Dec 9, 1987 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M••••• S•••••• wirehouse currentsince Aug 15, 2013 · Houston, Tx
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Aug 19, 2013 · Houston, Tx
- M••••• K••••• • C••••••• L•• formerNov 22, 1995 to Feb 13, 2013 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Aug 19, 2013, registered Aug 15, 2013 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address