DFX Intelligence
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Registered advisor
S••••• J•• R••••
Personal Financial Specialist
Feed of 09/14/2026
Also filed as S•• J•• R••••
At current firm
23 y
since Dec 19, 2002
In the industry
34 y
since Aug 19, 1992 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Dec 19, 2002 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJul 19, 1996 to Sep 30, 2002 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- U••• F•••••••• P••••••• S••••••• to E•••••••• A•••••••• L••left Sep 30, 2002, registered Dec 19, 2002 (80 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address