DFX Intelligence
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Feed of 09/14/2026
At current firm
13 y
since May 31, 2013
In the industry
23 y
since Apr 23, 2003 (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
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
- E••••• J•••• national BD currentsince May 31, 2013 · Kimberly, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 12, 2013 · Appleton, Wi
- C•••• I••••••••• S••••••• C•••• formerJul 19, 2007 to Oct 1, 2012 · Appleton, Wi
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to E••••• J••••left Jun 12, 2013, registered May 31, 2013 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address