DFX Intelligence
RIA 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
C••••••••• J•••• S•••
Feed of 09/14/2026
Also filed as C••••••••• J•••• S•••
At current firm
3 y
since Oct 6, 2022
In the industry
23 y
since Aug 29, 2003 (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
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
- C•••••• S••••• • C••• I••• national BD currentsince Oct 6, 2022 · Westlake, Tx
- T• A••••••••• I••• formerJun 25, 2013 to Oct 14, 2022 · Westlake, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 13, 2011 to Sep 9, 2011 · Appleton, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 21, 2008 to Dec 3, 2010 · Minneapolis, Mn
- S•••••••• A••••••• L•• national BDAug 1, 2007 to Oct 1, 2008 · Lewisville, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Oct 6, 2022 (-8 days) · channel change inside one enterprise, not a move
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I•••left Sep 9, 2011, registered Jun 25, 2013 (655 days) · Other
- T••••••• I••••••••• M••••••••• I••• to C•••• I••••••••• S••••••• C••••left Dec 3, 2010, registered Apr 13, 2011 (131 days) · Other
- S•••••••• A••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Oct 1, 2008, registered Oct 21, 2008 (20 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
- 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