DFX Intelligence
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Registered advisor
J•••••• S•••• G••••••
Chartered Financial Consultant
Feed of 09/14/2026
At current firm
8 y
since Nov 29, 2017
In the industry
22 y
since Apr 12, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Lady Lake, Fl
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 30, 2012 to Dec 5, 2017 · Lady Lake, Fl
- M••••• S•••••• wirehouseJun 26, 2012 to Nov 6, 2012 · The Villages, Fl
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 14, 2007 to Jun 18, 2012 · The Villages, Fl
- S••••••••• A•••••• A•••••••• I••• formerAug 26, 2005 to Sep 17, 2007 · The Villages, Fl
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 5, 2017, registered Nov 29, 2017 (-6 days) · corporate re-registration, not a move
- M••••• S•••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 6, 2012, registered Oct 30, 2012 (-7 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M••••• S••••••left Jun 18, 2012, registered Jun 26, 2012 (8 days) · Other
- S••••••••• A•••••• A•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Sep 17, 2007, registered Sep 14, 2007 (-3 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address