DFX Intelligence
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Registered advisor
J••••• C••• P••••
Feed of 09/15/2026
Also filed as J••••• C• P••••
At current firm
5 y
since Sep 15, 2021
In the industry
25 y
since Feb 9, 2001 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 15, 2021 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedApr 23, 2014 to Oct 15, 2021 · Crowley, La
- E••••• J•••• national BDFeb 28, 2014 to Apr 9, 2014 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Oct 15, 2021, registered Sep 15, 2021 (-30 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to L•• F•••••••• L••left Apr 9, 2014, registered Apr 23, 2014 (14 days) · Other
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address