DFX Intelligence
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Registered advisor
P•••••• J••••••• O••••••
Feed of 09/15/2026
At current firm
6 y
since Nov 1, 2019
In the industry
24 y
since Aug 19, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
7
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 1, 2019 · Putnam, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 20, 2012 to Nov 1, 2019 · Windsor, Ct
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 1, 2019, registered Nov 1, 2019 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address