DFX Intelligence
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Registered advisor
E••• D•••• W••••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedLouisville, Kydual registrantIAPD 2008531
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Jul 1, 2021
In the industry
36 y
since Dec 15, 1989 (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
S65, 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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 1, 2021 · Louisville, Ky
- R•••••• J•••• • A••••••••• I••• national BDJul 12, 2006 to Jun 30, 2021 · Louisville, Ky
- N•••••• I••••••••• I••• unclassifiedSep 20, 2000 to Jun 16, 2006 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 30, 2021, registered Jul 1, 2021 (1 day) · Affiliated broker-dealer or bank to another
- N•••••• I••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 16, 2006, registered Jul 12, 2006 (26 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address