DFX Intelligence
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Registered advisor
J•••• S•••• S••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J•••• S•••• S••••••••• S•••• S••••
At current firm
8 y
since May 14, 2018
In the industry
24 y
since Aug 31, 2002 (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
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince May 14, 2018 · Tracy, Ca
- I••••••• F•••••••• S••••••• unclassifiedMar 24, 2008 to May 11, 2018 · Orange, Ca
- I••••••• F•••••••• S••••••• unclassifiedJun 20, 2006 to Dec 19, 2008 · Oakland, Ca
- L•• F•••••••• L•• BD affiliatedSep 17, 2004 to May 13, 2008 · Oakland, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 2, 2002 to Sep 21, 2004 · Castro Valley, Ca
Moves
a registration end followed by a registration begin elsewhere
- I••••••• F•••••••• S••••••• to B• R•••• W••••• A•••••••• I•••left May 11, 2018, registered May 14, 2018 (3 days) · Other
- I••••••• F•••••••• S••••••• to I••••••• F•••••••• S•••••••left Dec 19, 2008, registered Mar 24, 2008 (-270 days) · Other
- L•• F•••••••• L•• to I••••••• F•••••••• S•••••••left May 13, 2008, registered Jun 20, 2006 (-693 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Sep 21, 2004, registered Sep 17, 2004 (-4 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
- 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