DFX Intelligence
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Registered advisor
T••• J••• S••••
Feed of 09/14/2026
At current firm
13 y
since Jan 24, 2013
In the industry
27 y
since Feb 4, 1999 (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, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 24, 2013 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDNov 11, 2009 to Nov 8, 2011 · Phoenix, Az
- S•••••••• A••••••• L•• national BDJun 23, 2008 to Oct 16, 2009 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDFeb 11, 2004 to May 29, 2008 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Nov 8, 2011, registered Jan 24, 2013 (443 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Oct 16, 2009, registered Nov 11, 2009 (26 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left May 29, 2008, registered Jun 23, 2008 (25 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
- No RAUM reportedderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address