DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J••••••• L••• S•••••••
Feed of 09/14/2026
Also filed as J••••••• L••• S•••••••
At current firm
7 y
since Mar 13, 2019
In the industry
22 y
since Apr 10, 2004 (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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 13, 2019 · Tulsa, Ok
- S••••• A••• A•••• M••••••••• I••• formerDec 19, 2008 to Apr 2, 2009 · Birmingham, Al
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedAug 30, 2007 to Dec 31, 2008 · Arcata, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 2, 2009, registered Mar 13, 2019 (3632 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Dec 31, 2008, registered Dec 19, 2008 (-12 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address