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
T•••• J••• Y••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as T•••• J••• Y••••••••• J• Y••••••••• Y••••••••• J• Y••••
At current firm
0 y
since Dec 5, 2025
In the industry
28 y
since Nov 25, 1997 (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
S66, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 5, 2025 · West Hartford, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 16, 2021 to Dec 31, 2021 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 13, 2020 to Jan 27, 2021 · St. Petersburg, Fl
- E••••• J•••• national BDDec 20, 2017 to Jan 25, 2018 · Largo, Fl
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2021, registered Dec 5, 2025 (1435 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left Jan 27, 2021, registered Jun 16, 2021 (140 days) · Other
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 25, 2018, registered Nov 13, 2020 (1023 days) · Affiliated broker-dealer or bank to another
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address