DFX Intelligence
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Registered advisor
J••• E••••• M••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J••• E••••• M••••••
At current firm
13 y
since Dec 17, 2012
In the industry
34 y
since Sep 30, 1991 (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
S66, 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
- W•••• F•••• A••••••• wirehouse currentsince Dec 17, 2012 · Huntersville, Nc
- I••••••••• F•••••••• P••••••• BD affiliatedMay 2, 2012 to Nov 5, 2012 · Mooresville, Nc
- I••••• F•••••••• C••••••••• formerJun 16, 2010 to Mar 20, 2012 · Mooresville, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 6, 2008 to Jun 4, 2009 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDSep 30, 1991 to Sep 30, 2006 · Sarasota, Fl
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• F•••••••• P••••••• to W•••• F•••• A•••••••left Nov 5, 2012, registered Dec 17, 2012 (42 days) · Other
- I••••• F•••••••• C••••••••• to I••••••••• F•••••••• P•••••••left Mar 20, 2012, registered May 2, 2012 (43 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to I••••• F•••••••• C•••••••••left Jun 4, 2009, registered Jun 16, 2010 (377 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Sep 30, 2006, registered Oct 6, 2008 (737 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address