DFX Intelligence
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Registered advisor
M•••••• J••• S••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
2 y
since Jul 22, 2024
In the industry
29 y
since Oct 11, 1996 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 22, 2024 · Birmingham, Al
- A••••••••• F•••••••• S•••••••• L•• national BDAug 7, 2015 to Jul 23, 2024 · Birmingham, Al
- M•• F•••••••• S•••••••• I••• formerSep 15, 2004 to Aug 21, 2015 · Birmingham, Al
- V••••••• I••••••••• A•••••••• I••• unclassifiedJan 14, 1998 to May 29, 2003 · Waltham, Ma
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 23, 2024, registered Jul 22, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 21, 2015, registered Aug 7, 2015 (-14 days) · Other
- V••••••• I••••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••left May 29, 2003, registered Sep 15, 2004 (475 days) · Other
Signals
- ••• LockedJul 23, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address