DFX Intelligence
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M••••• A•••••• J••••••
Chartered Financial Consultant
As of · the IAPD feed
- At current firm
- 7 y
- In the industry
- 27 y
- Prior registered firms
- 2
- Signals
- 0
since May 20, 2019
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince May 20, 2019 · Wheaton, Il
- A••••• A•• P••••••• S••••••• BD affiliatedJan 26, 2006 to May 24, 2019 · Wheaton, Il
- C•••••• S••••• • C••• I••• brokerage advisoryMay 8, 2002 to Jan 12, 2006 · Naperville, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left May 24, 2019, registered May 20, 2019 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••left Jan 12, 2006, registered Jan 26, 2006 (14 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote