DFX Intelligence
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Registered advisor
J•••• S••••• O•••
Feed of 09/14/2026
Also filed as J•••• S• O••••••••• S••••• O••••••••• O•••
At current firm
3 y
since Jun 15, 2023
In the industry
30 y
since Feb 12, 1996 (earliest exam, job or registration)
Prior registered firms
6
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
- R•• C•••••• M••••••• L•• national BD currentsince Jun 15, 2023 · St. Petersburg, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 4, 2015 to Jun 26, 2023 · Tampa, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 7, 2015 · Tampa, Fl
- M••••• S•••••• • C•• L•• unclassifiedSep 15, 2008 to Jun 1, 2009 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 1, 2004 to Sep 9, 2008 · Tampa, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Jun 4, 2004 · Birmingham, Al
All 6 prior registrationsShow fewer
- A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 18, 2003 to Aug 11, 2003 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jun 26, 2023, registered Jun 15, 2023 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Dec 7, 2015, registered Dec 4, 2015 (-3 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Sep 9, 2008, registered Sep 15, 2008 (6 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 4, 2004, registered Jun 1, 2004 (-3 days) · Other
All 6 movesShow fewer
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Aug 11, 2003, registered Jul 10, 2003 (-32 days) · Other
Signals
- ••• LockedJun 26, 2023 · Advisor changed firm · fact
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