DFX 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••••••••• S••••••••• L• S••••••••
At current firm
7 y
since Dec 21, 2018
In the industry
18 y
since Dec 4, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 21, 2018 · Florham Park, Nj
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 4, 2015 to Nov 30, 2018 · St. Louis, Mo
- B••••••• C•••••• I••• formerMay 30, 2012 to Dec 4, 2015 · New York, Ny
- W•••• F•••• A••••••• wirehouseAug 12, 2009 to May 21, 2012 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 11, 2007 to Feb 9, 2009 · Florham Park, Nj
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 30, 2018, registered Dec 21, 2018 (21 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••••••• C•••••• I•••left May 21, 2012, registered May 30, 2012 (9 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Feb 9, 2009, registered Aug 12, 2009 (184 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address