DFX Intelligence
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Registered advisor
J•••• S•••• L•••
Feed of 09/14/2026
Also filed as S•••• L••••••••• L•••
At current firm
10 y
since May 19, 2016
In the industry
32 y
since Dec 27, 1993 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince May 19, 2016 · St Louis, Mo
- C•••••• S••••• • C••• I••• national BDFeb 28, 1997 to May 24, 2016 · Ellisville, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to S•••••• N••••••• • C••••••• I•••••••••left May 24, 2016, registered May 19, 2016 (-5 days) · Affiliated broker-dealer or bank to another
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address