DFX Intelligence
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Registered advisor
J•• A••••• F•••••••••
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
5 y
since Aug 30, 2021
In the industry
26 y
since Dec 24, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Aug 30, 2021 · Waterford, Wi
- P•••• S••••••••• L•• no RAUMNov 8, 2007 to Feb 26, 2020 · Wauwatosa, Wi
- P•••• S••••••••• L•• no RAUMAug 19, 2005 to Jan 3, 2007 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Feb 26, 2020, registered Aug 30, 2021 (551 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address