DFX Intelligence
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Registered advisor
S••••• J••• W••••••••
Feed of 09/14/2026
At current firm
9 y
since Oct 24, 2016
In the industry
31 y
since Apr 3, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Oct 24, 2016 · Coral Springs, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Nov 14, 2013 · Aventura, Fl
- M••••• K••••• • C••••••• L•• formerJul 8, 2009 to Feb 13, 2013 · Coral Gables, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 7, 2006 to Mar 23, 2009 · Aventura, Fl
- U•• F•••••••• S••••••• I••• wirehouseJun 1, 2001 to Aug 16, 2006 · Aventura, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to T••••• A••••••• S•••••••• I•••left Nov 14, 2013, registered Oct 24, 2016 (1075 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• K••••• • C••••••• L••left Mar 23, 2009, registered Jul 8, 2009 (107 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 16, 2006, registered Aug 7, 2006 (-9 days) · Wirehouse to wirehouse
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address