DFX Intelligence
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Registered advisor
R••••• C•••• J••••
Chartered Financial Consultant · Personal Financial Specialist
Feed of 09/14/2026
At current firm
9 y
since Aug 17, 2017
In the industry
31 y
since Jun 1, 1995 (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
S63, S65
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 17, 2017 · Herrin, Il
- J• W• C••• A•••••••• I••• BD affiliatedNov 8, 2012 to Aug 25, 2017 · Carbondale, Il
- O•••• W•••••• I••• BD affiliatedOct 10, 2007 to Nov 9, 2012 · Scottsdale, Az
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 13, 2004 to Sep 17, 2007 · Herrin, Il
Moves
a registration end followed by a registration begin elsewhere
- J• W• C••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 25, 2017, registered Aug 17, 2017 (-8 days) · Other
- O•••• W•••••• I••• to J• W• C••• A•••••••• I•••left Nov 9, 2012, registered Nov 8, 2012 (-1 days) · Other
- C••••• I••••••••• A••••••• L•• to O•••• W•••••• I•••left Sep 17, 2007, registered Oct 10, 2007 (23 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address