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
N••• J••••• B••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as Nicholas J B••••
At current firm
2 y
since Sep 16, 2024
In the industry
21 y
since Jan 1, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 16, 2024 · Columbus, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 28, 2022 to Sep 17, 2024 · Columbus, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Nov 1, 2022 · Dublin, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedApr 25, 2005 to Oct 5, 2009 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Sep 17, 2024, registered Sep 16, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 1, 2022, registered Oct 28, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
Signals
- N••• J••••• B•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2024-09-16)Sep 17, 2024 · a•••••• firm change · fact
- N••• J••••• B•••• left A••••••••• F•••••••• S•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-10-28)Nov 1, 2022 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address