DFX Intelligence
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Registered advisor
N••••• J•••••• C•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as N••••• J• C•••••••
At current firm
17 y
since Oct 27, 2008
In the industry
28 y
since Feb 4, 1998 (earliest exam, job or registration)
Prior registered firms
3
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 27, 2008 · Miamisburg, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Oct 27, 2008 · Dayton, Oh
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Dayton, Oh
- B••• O•• S••••••••• C••••••••• unclassifiedSep 29, 2000 to Sep 27, 2006 · Dayton, Oh
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 27, 2008, registered Oct 27, 2008 (0 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address