DFX Intelligence
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Feed of 09/14/2026
Also filed as L••• N•••••
At current firm
17 y
since Oct 10, 2008
In the industry
28 y
since Sep 16, 1998 (earliest exam, job or registration)
Prior registered firms
1
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
- E••••• J•••• national BD currentsince Oct 10, 2008 · Alma, Ar
- N•• A•••••• S•••••••• L•• formerJul 15, 2005 to Oct 10, 2008 · Alma, Ar
Moves
a registration end followed by a registration begin elsewhere
- N•• A•••••• S•••••••• L•• to E••••• J••••left Oct 10, 2008, registered Oct 10, 2008 (0 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
- 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