DFX Intelligence
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Registered advisor
J•••• E•••• C••••
Feed of 09/14/2026
Also filed as J•••• E• C••••
At current firm
21 y
since Jun 23, 2005
In the industry
36 y
since Mar 9, 1990 (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
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
- P•• W••••• M••••••••• BD affiliated currentsince Jun 23, 2005 · Washington, Dc
- L•• F•••••••• L•• BD affiliatedNov 19, 2003 to May 24, 2005 · Washington, Dc
- R•••• S••••••••• I••• unclassifiedJan 1, 2001 to Nov 24, 2003 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to P•• W••••• M•••••••••left May 24, 2005, registered Jun 23, 2005 (30 days) · Other
- R•••• S••••••••• I••• to L•• F•••••••• L••left Nov 24, 2003, registered Nov 19, 2003 (-5 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