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
C•••••• J••••• S••••••
Feed of 09/15/2026
Also filed as C•••••• J••••• S••••••
At current firm
2 y
since Aug 28, 2024
In the industry
26 y
since Dec 17, 1999 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- B•••• E•• A•••••••• L•• state registered currentsince Aug 28, 2024 · Algonquin, Il
- W•••• T•••• W••••• M••••••••• I••• unclassifiedOct 23, 2019 to Dec 31, 2023 · Overland Park, Ks
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedApr 13, 2012 to Sep 23, 2019 · Oakbrook Terrace, Il
- V••••• A•••• M••••••••• I•• unclassifiedApr 17, 2008 to Sep 3, 2009 · Countryside, Il
- F•••• T•••• S••••••••• I••• BD affiliatedJun 15, 2005 to Feb 1, 2008 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• T•••• W••••• M••••••••• I••• to B•••• E•• A•••••••• L••left Dec 31, 2023, registered Aug 28, 2024 (241 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to W•••• T•••• W••••• M••••••••• I•••left Sep 23, 2019, registered Oct 23, 2019 (30 days) · Other
- V••••• A•••• M••••••••• I•• to T••••••••• F•••••••• A•••••••• L••left Sep 3, 2009, registered Apr 13, 2012 (953 days) · Other
- F•••• T•••• S••••••••• I••• to V••••• A•••• M••••••••• I••left Feb 1, 2008, registered Apr 17, 2008 (76 days) · Other
Signals
- C•••••• J••••• S•••••• left W•••• T•••• W••••• M••••••••• I••• for B•••• E•• A•••••••• L•• (registered 2024-08-28)Dec 31, 2023 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address