DFX Intelligence
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Registered advisor
J••• M•••••• A•••••••
Feed of 09/14/2026
At current firm
14 y
since Nov 8, 2011
In the industry
24 y
since Mar 13, 2002 (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
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 8, 2011 · Chico, Ca
- E••••• J•••• national BDAug 8, 2006 to Nov 1, 2011 · Chico, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 19, 2004 to Aug 14, 2006 · Chico, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJan 28, 2004 to Mar 26, 2004 · Chico, Ca
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 1, 2011, registered Nov 8, 2011 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Aug 14, 2006, registered Aug 8, 2006 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 26, 2004, registered Mar 19, 2004 (-7 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address