DFX Intelligence
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Registered advisor
R•••••• J••••• R•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R•••••• J••••• R•••••••
At current firm
2 y
since Jun 14, 2024
In the industry
33 y
since Jul 28, 1993 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Toccoa, Ga
- S••••••••• A•••••• A•••••••• I••• formerSep 18, 2020 to Jun 14, 2024 · Toccoa, Ga
- S•• A•••••••• I••• formerAug 16, 2010 to Sep 18, 2020 · Johnston, Ri
- E•••••••• A•••••••• L•• national BDNov 1, 2007 to Aug 19, 2010 · Warwick, Ri
- N••• F•••••••• G••••• I••• formerJul 30, 2004 to Nov 16, 2007 · Warwick, Ri
- H•••••• T••••••• • K•••• L•• independent RIAAug 8, 2003 to Jul 29, 2004 · Horsham, Pa
- H•••••• T••••••• • K•••• L•• independent RIAAug 18, 2001 to Aug 8, 2003 · Warwick, Ri
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to S•• A•••••••• I•••left Aug 19, 2010, registered Aug 16, 2010 (-3 days) · Other
- N••• F•••••••• G••••• I••• to E•••••••• A•••••••• L••left Nov 16, 2007, registered Nov 1, 2007 (-15 days) · Other
- H•••••• T••••••• • K•••• L•• to N••• F•••••••• G••••• I•••left Jul 29, 2004, registered Jul 30, 2004 (1 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address