DFX 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
J•••• N••••••• C•••••••
Feed of 09/14/2026
Also filed as J•••• N••• C••••••••• N••• C••••••••• N• C•••••••
At current firm
20 y
since Jun 6, 2006
In the industry
29 y
since Nov 25, 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Jun 6, 2006 · Edmond, Ok
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Jun 9, 2006 · Phoenix, Az
- S•••••• • C••• I••• unclassifiedJan 24, 2005 to Oct 31, 2005 · Edmond, Ok
- C•••••• A•••••••• L•• unclassifiedOct 14, 2004 to Jan 20, 2005 · Oklahoma City , Ok
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to E•••••••• A•••••••• L••left Jun 9, 2006, registered Jun 6, 2006 (-3 days) · Other
- S•••••• • C••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · Other
- C•••••• A•••••••• L•• to S•••••• • C••• I•••left Jan 20, 2005, registered Jan 24, 2005 (4 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address