DFX Intelligence
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Registered advisor
F•••••• J•••• S•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as F••••• S•••••
At current firm
4 y
since Jan 26, 2022
In the industry
29 y
since Jun 25, 1997 (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
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Scottsdale, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 9, 2010 to Sep 7, 2023 · Scottsdale, Az
- T• A••••••••• I••• formerAug 9, 2010 to Oct 14, 2022 · Scottsdale, Az
- U••• F•••••••• P••••••• S••••••• formerDec 15, 2008 to Mar 1, 2010 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMMar 27, 2007 to Dec 31, 2008 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Aug 9, 2010 (-4449 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to T• A••••••••• I•••left Mar 1, 2010, registered Aug 9, 2010 (161 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Dec 31, 2008, registered Dec 15, 2008 (-16 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 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