DFX Intelligence
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Registered advisor
J•••• B•••• R••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Jan 27, 2025
In the industry
27 y
since Jul 14, 1999 (earliest exam, job or registration)
Prior registered firms
7
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 27, 2025 · Scottsdale, Az
- A••••••••• F•••••••• S•••••••• L•• national BDOct 2, 2023 to Jan 28, 2025 · Scottsdale, Az
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 27, 2016 to Oct 12, 2023 · Scottsdale, Az
- J•••••• R•••••••• W••••• A•••••••• I••• unclassifiedMar 21, 2007 to May 29, 2020 · Scottsdale, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 3, 2007 to Apr 29, 2016 · Scottsdale, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 2, 2005 to Nov 30, 2005 · Mesa, Az
- W••••• T•••• • A•••••• L•• unclassifiedJul 29, 2003 to Nov 18, 2004 · Scottsdale, Az
- C••••••••• F•••••••• P•••••••• I••• unclassifiedNov 16, 2001 to Jun 11, 2003 · Tempe, Az
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 28, 2025, registered Jan 27, 2025 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Oct 12, 2023, registered Oct 2, 2023 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- J•••••• R•••••••• W••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 29, 2020, registered May 27, 2016 (-1463 days) · Other · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to J•••••• R•••••••• W••••• A•••••••• I•••left Apr 29, 2016, registered Mar 21, 2007 (-3327 days) · Other · moved with a team
- W••••• T•••• • A•••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 18, 2004, registered Aug 2, 2005 (257 days) · Other
- C••••••••• F•••••••• P•••••••• I••• to W••••• T•••• • A•••••• L••left Jun 11, 2003, registered Jul 29, 2003 (48 days) · Other
Signals
- ••• LockedJan 28, 2025 · Advisor changed firm · fact
- ••• LockedOct 12, 2023 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address