DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J•••••• S•••• H•••••
Feed of 09/14/2026
At current firm
9 y
since Jun 15, 2017
In the industry
29 y
since Apr 10, 1997 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Jun 15, 2017 · Ooltewah, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 30, 2016 to Jun 20, 2017 · Ooltewah, Tn
- S••••••• I••••••••• S•••••••• I••• formerJul 3, 2012 to Dec 31, 2016 · Ooltewah, Tn
- B••• I••••••••• S•••••••• I••• formerAug 20, 2008 to Jun 29, 2012 · Chattanooga, Tn
- F•••• H•••••• A•••••••• I•• formerMar 27, 2007 to Aug 14, 2008 · Chattanooga, Tn
- W•••• F•••• A••••••• wirehouseSep 16, 2005 to Mar 15, 2007 · Ringgold, Ga
- B••• I••••••••• S•••••••• I••• formerFeb 15, 2005 to Aug 23, 2005 · Charlotte, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to Feb 1, 2005 · Cartersville, Ga
- N•• F•••••••• S•••••••• I••• unclassifiedJan 14, 2004 to Jan 3, 2005 · Cartersville, Ga
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 20, 2017, registered Jun 15, 2017 (-5 days) · Other · moved with a team
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Aug 30, 2016 (-123 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jun 29, 2012, registered Jul 3, 2012 (4 days) · Other
- F•••• H•••••• A•••••••• I•• to B••• I••••••••• S•••••••• I•••left Aug 14, 2008, registered Aug 20, 2008 (6 days) · Other
- W•••• F•••• A••••••• to F•••• H•••••• A•••••••• I••left Mar 15, 2007, registered Mar 27, 2007 (12 days) · Other
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Aug 23, 2005, registered Sep 16, 2005 (24 days) · Other
- S••••••• I••••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Feb 1, 2005, registered Feb 15, 2005 (14 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address