DFX Intelligence
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Registered advisor
J•••••• S•••• H•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J••• H•••••••
At current firm
6 y
since Jun 5, 2020
In the industry
27 y
since Jan 1, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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 Jun 5, 2020 · Mountain Brook, Al
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJul 20, 2015 to Jan 8, 2018 · Atlanta, Ga
- L•••••• I••••••••• independent RIAAug 2, 2010 to Jul 5, 2012 · Montgomery, Al
- G•••• A••••••• A•••••••• I••• formerMay 12, 2005 to Aug 2, 2010 · Montgomery, Al
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered Jun 5, 2020 (12 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- L•••••• I••••••••• to U••• F•••••••• P••••••• S•••••••left Jul 5, 2012, registered Jul 20, 2015 (1110 days) · Other
- G•••• A••••••• A•••••••• I••• to L•••••• I•••••••••left Aug 2, 2010, registered Aug 2, 2010 (0 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address