DFX Intelligence
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Registered advisor
A•••••• J•••• A•••••••••
Feed of 09/14/2026
At current firm
23 y
since Jul 17, 2003
In the industry
29 y
since Mar 17, 1997 (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, 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
- L•• F•••••••• L•• BD affiliated currentsince Jul 17, 2003 · Stockton, Ca
- T•• E••••• M••••••••• G••••• I••• unclassifiedMar 18, 2009 to Nov 6, 2009 · Valencia, Ca
- W•••••• • R••• formerJul 8, 1997 to Jul 18, 2003 · Lodi, Ca
Moves
a registration end followed by a registration begin elsewhere
- T•• E••••• M••••••••• G••••• I••• to no registered destinationleft Nov 6, 2009 · Departure, no registered destination
- W•••••• • R••• to L•• F•••••••• L••left Jul 18, 2003, registered Jul 17, 2003 (-1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address