DFX Intelligence
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Registered advisor
J••• E••• S•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J••• E••• S•••••
At current firm
5 y
since Jan 12, 2021
In the industry
30 y
since Sep 28, 1995 (earliest exam, job or registration)
Prior registered firms
4
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 12, 2021 · Dallas, Tx
- S•••••• N••••••• • C••••••• I••••••••• national BDJan 11, 2021 to Jan 11, 2021 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jan 13, 2021 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 29, 2002 to Oct 23, 2009 · Dallas, Tx
- M••••• S•••••• D• I••• unclassifiedMar 14, 1996 to Aug 5, 2002 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 13, 2021, registered Jan 11, 2021 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 5, 2002, registered Jul 29, 2002 (-7 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address