DFX Intelligence
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Registered advisor
M•••••• R• W•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M••• W••••••••• R•••••• W••••••••• W••••••••• R• W••••••••• R•••••• W•••••
At current firm
2 y
since Jul 25, 2024
In the industry
32 y
since Mar 28, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 25, 2024 · Springfield, Mo
- E••••• J•••• national BDApr 1, 2024 to Jul 18, 2024 · St Louis, Mo
- C•••••• S••••• • C••• I••• national BDOct 22, 2003 to Jan 11, 2024 · Clayton, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 14, 2002 to Oct 1, 2003 · St Peters, Mo
- U•• F•••••••• S••••••• I••• wirehouseJun 11, 1999 to Jul 1, 2002 · Chesterfield, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to J••• M••••• S••••••••• L••left Jul 18, 2024, registered Jul 25, 2024 (7 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to E••••• J••••left Jan 11, 2024, registered Apr 1, 2024 (81 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to C•••••• S••••• • C••• I•••left Oct 1, 2003, registered Oct 22, 2003 (21 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 1, 2002, registered Jun 14, 2002 (-17 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJul 18, 2024 · Advisor changed firm · fact
- ••• LockedJan 11, 2024 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address