DFX Intelligence
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Registered advisor
H••••• C•••• J••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as H• C•••• J••••••••• C•••• J••••••••• C•••• J••••••••• C•••• J••••••
At current firm
1 y
since Nov 14, 2024
In the industry
36 y
since Jan 11, 1990 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Franklin, Tn
- P•••• S••••••••• L•• no RAUMJun 3, 2021 to Nov 14, 2024 · Franklin, Tn
- R•••••• J•••• • A••••••••• I••• national BDJan 8, 2014 to Jun 11, 2021 · Nashville, Tn
- W•••• F•••• A••••••• wirehouseOct 4, 2005 to Jan 9, 2014 · Brentwood, Tn
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 8, 2004 to Oct 18, 2005 · Nashville, Tn
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to P•••• S••••••••• L••left Jun 11, 2021, registered Jun 3, 2021 (-8 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jan 9, 2014, registered Jan 8, 2014 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Oct 18, 2005, registered Oct 4, 2005 (-14 days) · Other
Signals
No dated event on this person.
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
- 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