DFX Intelligence
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Registered advisor
P••••••• A•• W•••••
Feed of 09/15/2026
Also filed as P••••••• D••••••••• A•• W•••••
At current firm
5 y
since Aug 2, 2021
In the industry
28 y
since Jun 10, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 2, 2021 · Edina, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 6, 2013 to Nov 25, 2015 · Warrenville, Il
- R•••••• J•••• • A••••••••• I••• national BDJun 6, 2011 to May 3, 2013 · Winnetka, Il
- R•• C•••••• M••••••• L•• national BDApr 3, 2006 to Jun 10, 2011 · St. Paul, Mn
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Nov 25, 2015, registered Aug 2, 2021 (2077 days) · Other
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 3, 2013, registered May 6, 2013 (3 days) · Other
- R•• C•••••• M••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jun 10, 2011, registered Jun 6, 2011 (-4 days) · Affiliated broker-dealer or bank to another
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address