DFX Intelligence
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Registered advisor
J•••• H••••• L••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J•••• H••••• L••••••
At current firm
11 y
since May 15, 2015
In the industry
22 y
since Oct 30, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- V••••••• A•••••••• I••• BD affiliated currentsince May 15, 2015 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 14, 2010 · Charlotte, Nc
- M••••• S•••••• • C•• L•• unclassifiedNov 30, 2007 to Jun 1, 2009 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 21, 2005 to Aug 20, 2007 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerMar 2, 2004 to May 20, 2004 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to V••••••• A•••••••• I•••left Sep 14, 2010, registered May 15, 2015 (1704 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Aug 20, 2007, registered Nov 30, 2007 (102 days) · Other
- B••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 20, 2004, registered Jan 21, 2005 (246 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