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.
Feed of 09/14/2026
Also filed as J•••••• T•••• U••••••••• U•••
At current firm
2 y
since Apr 12, 2024
In the industry
22 y
since Dec 1, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 12, 2024 · Oakbrook, Il
- W•••• F•••• A••••••• wirehouseAug 17, 2023 to Apr 12, 2024 · Oak Brook, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 21, 2023 to Aug 15, 2023 · Downers Grove, Il
- R•••••• J•••• • A••••••••• I••• national BDMay 12, 2022 to Apr 27, 2023 · Oakbrook Terrace, Il
- U•• F•••••••• S••••••• I••• wirehouseAug 18, 2016 to May 9, 2022 · Chicago, Il
- C••• B•••••••• S•••••••• I••• formerAug 2, 2006 to Nov 1, 2007 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Apr 12, 2024, registered Apr 12, 2024 (0 days) · channel change inside one enterprise, not a move · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Aug 15, 2023, registered Aug 17, 2023 (2 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 27, 2023, registered Apr 21, 2023 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 9, 2022, registered May 12, 2022 (3 days) · Wirehouse to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Nov 1, 2007, registered Aug 18, 2016 (3213 days) · Other
Signals
- ••• LockedAug 15, 2023 · Advisor changed firm · fact
- ••• LockedApr 27, 2023 · Advisor changed firm · fact
- ••• LockedMay 9, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address